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LogoDaily Update from Securities Docket

Archive

Breaking Down the Stats and Reasoning Behind SEC Enforcement Cases Against Individuals

Feb 13, 2024

•

7 min read

Breaking Down the Stats and Reasoning Behind SEC Enforcement Cases Against Individuals

Plus the consequences of eliminating the SEC's "No-Deny" settlements

Bruce Carton
Bruce Carton
SEC Charges 16 Firms for Recordkeeping Failures Related to Off-Channel Communications

Feb 12, 2024

•

6 min read

SEC Charges 16 Firms for Recordkeeping Failures Related to Off-Channel Communications

Plus court rejects Elon Musk's attempt to avoid further testimony in SEC case.

Bruce Carton
Bruce Carton
Crypto-Related Ransom Payments Nearly Doubled in 2023, to Over $1 Billion

Feb 9, 2024

•

7 min read

Crypto-Related Ransom Payments Nearly Doubled in 2023, to Over $1 Billion

Plus another law firm is sued for advice to a failed crypto exchange.

Bruce Carton
Bruce Carton
SEC Files Settled Charges Against TradeStation Over Unregistered Crypto Lending Product

Feb 8, 2024

•

7 min read

SEC Files Settled Charges Against TradeStation Over Unregistered Crypto Lending Product

Plus FINRA fights in the D.C. Circuit against an "existential risk"

Bruce Carton
Bruce Carton
SEC Charges Cloopen Group With Accounting Fraud for Prematurely Recognizing Revenue

Feb 7, 2024

•

9 min read

SEC Charges Cloopen Group With Accounting Fraud for Prematurely Recognizing Revenue

Plus will the SEC's SolarWinds case make companies think twice about reporting cyberattacks?

Bruce Carton
Bruce Carton
Former Clifford Chance Lawyer Acquitted of Insider Trading Charges

Feb 6, 2024

•

7 min read

Former Clifford Chance Lawyer Acquitted of Insider Trading Charges

Plus can Adam Neumann pull off a takeover of bankrupt WeWork?

Bruce Carton
Bruce Carton
SEC Charges Founder of Bitcoin Trading Course with Fraudulent Scheme

Feb 5, 2024

•

8 min read

SEC Charges Founder of Bitcoin Trading Course with Fraudulent Scheme

Plus over 20 former senior cyber government officials sign on to SolarWinds amicus brief.

Bruce Carton
Bruce Carton
SEC Chair Gensler: Amending "No Deny" Policy Would Alter Impact of Enforcement Settlements

Feb 2, 2024

•

10 min read

SEC Chair Gensler: Amending "No Deny" Policy Would Alter Impact of Enforcement Settlements

Plus Larry David says he was an idiot to do the FTX Super Bowl ad.

Bruce Carton
Bruce Carton
FTX Expects to Make Customers 100% Whole, Will Not Re-Launch Crypto Exchange

Feb 1, 2024

•

10 min read

FTX Expects to Make Customers 100% Whole, Will Not Re-Launch Crypto Exchange

Plus the SEC plans to dismiss DEBT Box case, says sanctions not warranted.

Bruce Carton
Bruce Carton
SEC Rejects Request to Rescind its "No Denial" Rule in Settlements

Jan 31, 2024

•

10 min read

SEC Rejects Request to Rescind its "No Denial" Rule in Settlements

Plus a poll: Does your company have a "dawn raid manual?"

Bruce Carton
Bruce Carton
SEC and DOJ Charge Individuals with $1.7 Billion Crypto Pyramid Scheme and Fraud

Jan 30, 2024

•

9 min read

SEC and DOJ Charge Individuals with $1.7 Billion Crypto Pyramid Scheme and Fraud

Plus the private funds industry's appeal against new SEC rules will be heard next week.

Bruce Carton
Bruce Carton
SolarWinds: SEC Not Authorized to be a "Roving Cybersecurity Commissioner"

Jan 29, 2024

•

9 min read

SolarWinds: SEC Not Authorized to be a "Roving Cybersecurity Commissioner"

Plus the DOJ reminds companies not to delete "ephemeral messages"

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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