Archive

Stanford Financial Receiver Paying Out Funds, But Many Victims Have Sold Their Claims to Hedge Funds

Stanford Financial Receiver Paying Out Funds, But Many Victims Have Sold Their Claims to Hedge Funds

Plus reports on the short list for SEC Chairman in a Trump administration.

Bruce Carton
Bruce Carton
SEC Commissioners Peirce and Uyeda Say Whistleblower Secrecy Undermines Faith in Program

SEC Commissioners Peirce and Uyeda Say Whistleblower Secrecy Undermines Faith in Program

Plus the Wall Street trading firm making "obscene" profits.

Bruce Carton
Bruce Carton
SEC and DOJ Tell Supreme Court Nvidia Investors' Lawsuit Should Not Be Dismissed

SEC and DOJ Tell Supreme Court Nvidia Investors' Lawsuit Should Not Be Dismissed

Plus 22 state AGs launch investigation into Nasdaq board diversity rules.

Bruce Carton
Bruce Carton
SEC Enforcement Director Gurbir Grewal Stepping Down, Sanjay Wadhwa Named Acting Director

SEC Enforcement Director Gurbir Grewal Stepping Down, Sanjay Wadhwa Named Acting Director

Plus the SEC plans to appeal the Ripple decision.

Bruce Carton
Bruce Carton
"Securities Fraud Squared" -- Can Announcement of Settlement of a Securities Class Action Itself Be Securities Fraud?

"Securities Fraud Squared" -- Can Announcement of Settlement of a Securities Class Action Itself Be Securities Fraud?

Plus does the disbanding of the SEC's ESG Task Force mean anything?

Bruce Carton
Bruce Carton
SEC Charges Accounting Firm With Aiding and Abetting Massive Securities Fraud

SEC Charges Accounting Firm With Aiding and Abetting Massive Securities Fraud

Plus why October 7 may be a key date in the "future of U.S. crypto regulation."

Bruce Carton
Bruce Carton
SEC Charges London Man with Hacking Five Public Companies to Trade on Inside Information

SEC Charges London Man with Hacking Five Public Companies to Trade on Inside Information

Plus why is Paul Bilzerian in this newsletter?

Bruce Carton
Bruce Carton
SEC Charges DraftKings with Reg FD Violation

SEC Charges DraftKings with Reg FD Violation

Plus the SEC charges GQG Partners with violating whistleblower protection rule.

Bruce Carton
Bruce Carton
All Five SEC Commissioners Testify Before House Committee on "Oversight of the SEC"

All Five SEC Commissioners Testify Before House Committee on "Oversight of the SEC"

Plus Caroline Ellison sentenced to two years in prison for role in FTX fraud.

Bruce Carton
Bruce Carton
SEC Charges Investment Advisor With Misleading Investors Regarding its "Biblically Responsible Investing" Strategy

SEC Charges Investment Advisor With Misleading Investors Regarding its "Biblically Responsible Investing" Strategy

Plus a poll: how many days/week does your firm require you to be in the office?

Bruce Carton
Bruce Carton
DOJ Has Received Reports From Over 100 Tipsters to Pilot Whistleblower Program

DOJ Has Received Reports From Over 100 Tipsters to Pilot Whistleblower Program

Plus the SEC charges "supposed" DeFi platform Rari Capital with misleading investors, unregistered broker activity.

Bruce Carton
Bruce Carton
SEC Charges Prager Metis with Negligence in FTX Audit, Failure to Understand Crypto Asset Markets

SEC Charges Prager Metis with Negligence in FTX Audit, Failure to Understand Crypto Asset Markets

Plus watch out for "Relationship Investment Scams."

Bruce Carton
Bruce Carton
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