Archive

SEC Adds to DOJ Allegations Against Two Men Accused of Insider Trading Based on Stolen Corporate Regulatory Filings

SEC Adds to DOJ Allegations Against Two Men Accused of Insider Trading Based on Stolen Corporate Regulatory Filings

Plus SDNY judges approve Jay Clayton to continue as U.S. Attorney.

Bruce Carton
Bruce Carton
SEC Charges Buyout Firm TZP Group For Excessive Management Fees

SEC Charges Buyout Firm TZP Group For Excessive Management Fees

Plus just five weeks until Securities Enforcement Forum Central in Chicago!

Bruce Carton
Bruce Carton
SEC, DOJ Charge Defendants With Over $200 Million Water Vending Machine Ponzi Scheme

SEC, DOJ Charge Defendants With Over $200 Million Water Vending Machine Ponzi Scheme

Plus SEC Chairman Atkins says agency is mobilizing to make U.S. the crypto capital of the world.

Bruce Carton
Bruce Carton
Alternative Investments in 401(k)s--WiIl this Train "Leave the Station?"

Alternative Investments in 401(k)s--WiIl this Train "Leave the Station?"

Plus Wall Street banks are now covering private companies.

Bruce Carton
Bruce Carton
Do Kwon Pleads Guilty to Terra Fraud, DOJ Will Not Seek Prison Sentence Greater Than 12 Years

Do Kwon Pleads Guilty to Terra Fraud, DOJ Will Not Seek Prison Sentence Greater Than 12 Years

Plus the "Blockchain Emperor (Still) Has No Clothes?"

Bruce Carton
Bruce Carton
The "Hobson’s Choice" of the SEC's No-Deny Rule in Settlements

The "Hobson’s Choice" of the SEC's No-Deny Rule in Settlements

Plus the SEC files a settled enforcement action for a manipulative options spoofing scheme.

Bruce Carton
Bruce Carton
Binance Founder CZ Deploys "Full Playbook" in Effort to Gain Pardon

Binance Founder CZ Deploys "Full Playbook" in Effort to Gain Pardon

Plus kangaroo-nicorns.

Bruce Carton
Bruce Carton
SEC and Ripple Dismiss Appeals, Ending Over Four Years of Litigation

SEC and Ripple Dismiss Appeals, Ending Over Four Years of Litigation

Plus Paxos settles matter with NYDFS for a total of over $48 million.

Bruce Carton
Bruce Carton
"No-Deny" SEC Settlements? No Problem!

"No-Deny" SEC Settlements? No Problem!

Plus Pres. Trump is set to sign an order today allowing for private assets in 401(k)s.

Bruce Carton
Bruce Carton
Will the SEC Follow the DOJ in Scaling Back Enforcement of the FCPA?

Will the SEC Follow the DOJ in Scaling Back Enforcement of the FCPA?

Plus the $30-$40 million/year lawyers have arrived.💰

Bruce Carton
Bruce Carton
Law Firm Fenwick & West Hits it Big with 900,000 Shares in Figma IPO

Law Firm Fenwick & West Hits it Big with 900,000 Shares in Figma IPO

Plus "tokenization" remains the song of the summer.

Bruce Carton
Bruce Carton
SEC Taking its Crypto Task Force on the Road

SEC Taking its Crypto Task Force on the Road

Plus please send your nominations for our “Enforcement Elite” for 2025 and our “Enforcement Hall of Fame.”

Bruce Carton
Bruce Carton
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