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SEC Charges Deere & Co. with FCPA Violations for Bribes in Thailand

Sep 11, 2024

•

8 min read

SEC Charges Deere & Co. with FCPA Violations for Bribes in Thailand

Plus Caroline Ellison argues she should receive no jail time in FTX case.

Bruce Carton
Bruce Carton
SEC Charges Keurig with Inaccurate Statements About Recyclability of its K-Cups

Sep 10, 2024

•

9 min read

SEC Charges Keurig with Inaccurate Statements About Recyclability of its K-Cups

Plus no new trial for Matthew Panuwat in shadow insider trading case.

Bruce Carton
Bruce Carton
SEC Charges Seven Public Companies in Whistleblower Protection Sweep

Sep 9, 2024

•

7 min read

SEC Charges Seven Public Companies in Whistleblower Protection Sweep

Plus SEC Chair Mark Cuban?

Bruce Carton
Bruce Carton
SEC Requests Dismissal of All Active Accountant Misconduct Cases Pending Before ALJs

Sep 6, 2024

•

8 min read

SEC Requests Dismissal of All Active Accountant Misconduct Cases Pending Before ALJs

Plus why is Caleb Williams in this newsletter?

Bruce Carton
Bruce Carton
SEC Charges Three Registrants with Violating Whistleblower Protection Rule

Sep 5, 2024

•

7 min read

SEC Charges Three Registrants with Violating Whistleblower Protection Rule

Plus the SEC opts not to appeal Fifth Circuit rejection of private funds rule.

Bruce Carton
Bruce Carton
SEC Charges Moody's, S&P and Other Credit Rating Agencies With Off-Channel Communications

Sep 4, 2024

•

10 min read

SEC Charges Moody's, S&P and Other Credit Rating Agencies With Off-Channel Communications

Plus 19 states launch a challenge to the SEC's Consolidated Audit Trail.

Bruce Carton
Bruce Carton
Are Record-Low FINRA Enforcement Actions a Good Thing or a Bad Thing?

Sep 3, 2024

•

8 min read

Are Record-Low FINRA Enforcement Actions a Good Thing or a Bad Thing?

Plus a federal court dismisses lawsuit against Elon Musk for promoting Dogecoin.

Bruce Carton
Bruce Carton
Austal USA Settles SEC Charges of Accounting Fraud, Pleads Guilty in Parallel Criminal Case

Aug 28, 2024

•

9 min read

Austal USA Settles SEC Charges of Accounting Fraud, Pleads Guilty in Parallel Criminal Case

Plus a poll: Is the accounting profession about to see a significant pay increase?

Bruce Carton
Bruce Carton
SEC Sues Investment Adviser for Failing to Prevent Misuse of Material Nonpublic Information

Aug 27, 2024

•

9 min read

SEC Sues Investment Adviser for Failing to Prevent Misuse of Material Nonpublic Information

Plus the SEC charges two brothers with $60 million crypto Ponzi scheme.

Bruce Carton
Bruce Carton
Whistleblower Who Provided SEC With "Critical Information" to Receive $82 Million Award

Aug 26, 2024

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7 min read

Whistleblower Who Provided SEC With "Critical Information" to Receive $82 Million Award

Plus a federal court denies Kraken's motion to dismiss the SEC's case.

Bruce Carton
Bruce Carton
Ninth Circuit Upholds Dismissal of Law Firm's Case Against SEC on Use of Ether

Aug 23, 2024

•

8 min read

Ninth Circuit Upholds Dismissal of Law Firm's Case Against SEC on Use of Ether

Plus just one month until Securities Enforcement Forum Central 2024 in Chicago!

Bruce Carton
Bruce Carton
Binance's Compliance Spending to Top $200M in 2024 as Part of "50 to 100 Year" Plan

Aug 22, 2024

•

8 min read

Binance's Compliance Spending to Top $200M in 2024 as Part of "50 to 100 Year" Plan

Plus the impact of silence from the SEC on whistleblowers.

Bruce Carton
Bruce Carton
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Daily Update from Securities Docket

Daily Update from Securities Docket

Read by defense counsel, in-house counsel, regulators, consultants and everyone else.


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