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LogoDaily Update from Securities Docket

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SEC Sues Investment Adviser for Using Misleading Hypothetical Performance Metrics

Aug 21, 2023

•

9 min read

SEC Sues Investment Adviser for Using Misleading Hypothetical Performance Metrics

Plus SBF doesn't want to WFH (a jail).

Bruce Carton
Bruce Carton
Daily Update Returns August 17

Aug 15, 2023

•

1 min read

Daily Update Returns August 17

Bruce Carton
Bruce Carton
Judge Revokes Bankman-Fried's Bail, Sends Him to Brooklyn Jail Until Trial

Aug 14, 2023

•

9 min read

Judge Revokes Bankman-Fried's Bail, Sends Him to Brooklyn Jail Until Trial

Plus U.S. Senator Lummis joins amicus brief asking court to dismiss SEC's case against Coinbase.

Bruce Carton
Bruce Carton
SEC Charges Grupo Aval with FCPA Violations, Agrees to $40 Million Settlement

Aug 11, 2023

•

10 min read

SEC Charges Grupo Aval with FCPA Violations, Agrees to $40 Million Settlement

Plus the SEC settles with crypto firm Bittrex and former CEO over "unregistered exchange."

Bruce Carton
Bruce Carton
SEC Notifies Court it Will Appeal Ripple Labs Crypto Decision

Aug 10, 2023

•

8 min read

SEC Notifies Court it Will Appeal Ripple Labs Crypto Decision

Plus why "caring about diversity is securities fraud, and not caring about diversity is securities fraud."

Bruce Carton
Bruce Carton
SEC Strikes Again with Recordkeeping / "WhatsApp" Charges Against 11 Wall Street Firms

Aug 9, 2023

•

10 min read

SEC Strikes Again with Recordkeeping / "WhatsApp" Charges Against 11 Wall Street Firms

Plus is it time to ease up on punitive sanctions in insider trading cases?

Bruce Carton
Bruce Carton
SEC Charges Fund Administrator for Missing Red Flags of Fraud Against Private Fund

Aug 8, 2023

•

10 min read

SEC Charges Fund Administrator for Missing Red Flags of Fraud Against Private Fund

Plus be careful before you label the securities class action against your company as "without merit."

Bruce Carton
Bruce Carton
"Crypto got Rakoff’d"

Aug 7, 2023

•

11 min read

"Crypto got Rakoff’d"

Plus SEC Chair Gensler focuses on the risks of AI

Bruce Carton
Bruce Carton
Court Rules Covington Must Identify Seven Public Company Clients in Hacking Case

Jul 25, 2023

•

8 min read

Court Rules Covington Must Identify Seven Public Company Clients in Hacking Case

Plus FTX judge may issue gag order after Bankman-Fried's allegedly leaks.

Bruce Carton
Bruce Carton
SEC: Internal Binance Messages Show Binance Knew of Wash Trading

Jul 24, 2023

•

8 min read

SEC: Internal Binance Messages Show Binance Knew of Wash Trading

Plus the SEC indicates it is likely to appeal Ripple ruling.

Bruce Carton
Bruce Carton
SEC Brings Settled Fraud Charges Against Digital World SPAC

Jul 21, 2023

•

7 min read

SEC Brings Settled Fraud Charges Against Digital World SPAC

Plus a House Committee introduces the "Financial Innovation and Technology for the 21st Century Act" for crypto.

Bruce Carton
Bruce Carton
Groundhog Day: Bipartisan Legislation Seeks to Bar Executive and Legislative Branches from Owning Stock

Jul 20, 2023

•

10 min read

Groundhog Day: Bipartisan Legislation Seeks to Bar Executive and Legislative Branches from Owning Stock

Plus how does Taylor Swift keep getting in this newsletter?

Bruce Carton
Bruce Carton
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Daily Update from Securities Docket

Daily Update from Securities Docket

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