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See you at Securities Enforcement Forum Central 2023!

Sep 19, 2023

•

1 min read

See you at Securities Enforcement Forum Central 2023!

Today at the Four Seasons Hotel Chicago and online.

Bruce Carton
Bruce Carton
FTX's Bankman-Fried "Blames Everyone But Himself"

Sep 18, 2023

•

7 min read

FTX's Bankman-Fried "Blames Everyone But Himself"

Plus "furious" SEC defendants claim dollar amount of fines has become unreasonably high.

Bruce Carton
Bruce Carton
SEC Charges Investment Adviser and Owner with Cherry-Picking Profitable Trades 🍒

Sep 15, 2023

•

8 min read

SEC Charges Investment Adviser and Owner with Cherry-Picking Profitable Trades 🍒

Plus the stampede of top execs leaving Binance.US continues.

Bruce Carton
Bruce Carton
SEC Charges NFT Creator with Unregistered Offering of "Stoner Cats"

Sep 14, 2023

•

10 min read

SEC Charges NFT Creator with Unregistered Offering of "Stoner Cats"

Plus new SEC rules have private funds prepared to spend billions (with a "B") on lawyers, compliance.

Bruce Carton
Bruce Carton
SEC Charges Marcum's National Assurance Services Leader with Quality Control Deficiencies

Sep 13, 2023

•

10 min read

SEC Charges Marcum's National Assurance Services Leader with Quality Control Deficiencies

Plus a poll: Which comes first, a Bitcoin ETF or a congressional insider trading ban?

Bruce Carton
Bruce Carton
SEC Announces Sweep Against Investment Advisers for Improperly Advertising Hypothetical Performance

Sep 12, 2023

•

7 min read

SEC Announces Sweep Against Investment Advisers for Improperly Advertising Hypothetical Performance

Plus SEC Chair Gensler testifies today before the Senate Banking Committee.

Bruce Carton
Bruce Carton
SEC Charges Privately Held Company with Violating Whistleblower Protection Rules

Sep 11, 2023

•

8 min read

SEC Charges Privately Held Company with Violating Whistleblower Protection Rules

Plus where will you be on September 19?

Bruce Carton
Bruce Carton
SEC Charges Linus Financial with Offer and Sale of Unregistered Crypto Assets

Sep 8, 2023

•

11 min read

SEC Charges Linus Financial with Offer and Sale of Unregistered Crypto Assets

Plus a fourth top FTX executive pleads guilty to criminal charges.

Bruce Carton
Bruce Carton
SEC Charges Fluor Corp. and Executives with Improper Accounting

Sep 7, 2023

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9 min read

SEC Charges Fluor Corp. and Executives with Improper Accounting

Plus FASB adopts fair-value accounting standard for Bitcoin and other crypto assets.

Bruce Carton
Bruce Carton
SEC Charges Private Equity Firm for Inadequate Disclosure of Fees

Sep 6, 2023

•

10 min read

SEC Charges Private Equity Firm for Inadequate Disclosure of Fees

Plus a profile of the SEC's Hester Peirce, "Republican thorn in the SEC’s side."

Bruce Carton
Bruce Carton
Crypto Bankruptcies Result in "$700 Million Bonanza" for Lawyers, Consultants

Sep 5, 2023

•

9 min read

Crypto Bankruptcies Result in "$700 Million Bonanza" for Lawyers, Consultants

Plus SEC goes back to the future with an internet message board case.

Bruce Carton
Bruce Carton
SEC Pushes Decisions on Pending Bitcoin ETF Applications to October

Sep 1, 2023

•

9 min read

SEC Pushes Decisions on Pending Bitcoin ETF Applications to October

Plus the DOJ and SEC are investigating a "secret glass house" for Elon Musk.

Bruce Carton
Bruce Carton
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Daily Update from Securities Docket

Daily Update from Securities Docket

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