Archive

SEC and DOJ Charge Founder of Frank with "Brazen Scheme" to Defraud JPMorgan

Plus Mr. Wonderful not on board with suing your regulator.

Bruce Carton

VW Asks Judge to Reject SEC's "Draconian" Proposed Sanction

Apr 4, 2023

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9 min read

VW Asks Judge to Reject SEC's "Draconian" Proposed Sanction

Plus the SEC charges Merrill Lynch for undisclosed foreign exchange fees.

Bruce Carton

SEC Charges Three Execs at Austal USA with Fraudulent Revenue Recognition Scheme

Apr 3, 2023

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8 min read

SEC Charges Three Execs at Austal USA with Fraudulent Revenue Recognition Scheme

Plus FTX's law firm faces "federal law enforcement subpoenas" and a class action lawsuit.

Bruce Carton

SEC Sues Trader for SPAC Insider Trading Scheme

Mar 31, 2023

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10 min read

SEC Sues Trader for SPAC Insider Trading Scheme

Plus the SEC seeks $2.4 billion budget, will ramp up enforcement and examinations.

Bruce Carton

SEC Sues, Shuts Down Beaxy and Execs for Operating Unregistered Crypto Exchange

Mar 30, 2023

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10 min read

SEC Sues, Shuts Down Beaxy and Execs for Operating Unregistered Crypto Exchange

Plus the SEC sues Spicer Jeffries audit firm and engagement partner for improper professional conduct.

Bruce Carton

DOJ Charges FTX's Bankman-Fried With $40 Million Bribe of Chinese Official

Mar 29, 2023

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10 min read

DOJ Charges FTX's Bankman-Fried With $40 Million Bribe of Chinese Official

Plus the SEC and Vale S.A. reach $55 million settlement over disclosures prior to dam collapse.

Bruce Carton

CFTC Sues Binance for Offering Unregistered Derivatives Products, Hiding U.S. Crypto Trading Activity

Mar 28, 2023

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9 min read

CFTC Sues Binance for Offering Unregistered Derivatives Products, Hiding U.S. Crypto Trading Activity

Plus will the CFTC's action be fatal for Binance?

Bruce Carton

Crypto Industry Views SEC-Coinbase Battle as "Existential Threat"

Mar 27, 2023

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8 min read

Crypto Industry Views SEC-Coinbase Battle as "Existential Threat"

Plus why are people kicking two-ton bags of nickel worldwide?

Bruce Carton

"Why Coinbase Will Lose Its Battle With the SEC"

Mar 24, 2023

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10 min read

"Why Coinbase Will Lose Its Battle With the SEC"

Plus Terraform's Do Kwon is apprehended in Montenegro and charged by U.S. prosecutors.

Bruce Carton

End of the Runway: SEC Hits Coinbase with Wells Notice

Mar 23, 2023

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9 min read

End of the Runway: SEC Hits Coinbase with Wells Notice

Plus the SEC sues Tron founder Justin Sun (and Lindsay Lohan, Jake Paul and others)

Bruce Carton

SEC Commissioner Peirce: "Grave Concerns" SEC Trying to Do Too Much at Once

Mar 22, 2023

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8 min read

SEC Commissioner Peirce: "Grave Concerns" SEC Trying to Do Too Much at Once

Plus a new crypto ad mandate in Belgium: “The Only Guarantee in Crypto is Risk”

Bruce Carton

Biden's First Veto Preserves Rule Enabling ESG Investing

Mar 21, 2023

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7 min read

Biden's First Veto Preserves Rule Enabling ESG Investing

Plus Gov. DeSantis seeks to ban CBDCs in Florida.

Bruce Carton

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SEC and DOJ Charge Founder of Frank with "Brazen Scheme" to Defraud JPMorgan

VW Asks Judge to Reject SEC's "Draconian" Proposed Sanction

SEC Charges Three Execs at Austal USA with Fraudulent Revenue Recognition Scheme

SEC Sues Trader for SPAC Insider Trading Scheme

SEC Sues, Shuts Down Beaxy and Execs for Operating Unregistered Crypto Exchange

DOJ Charges FTX's Bankman-Fried With $40 Million Bribe of Chinese Official

CFTC Sues Binance for Offering Unregistered Derivatives Products, Hiding U.S. Crypto Trading Activity

Crypto Industry Views SEC-Coinbase Battle as "Existential Threat"

"Why Coinbase Will Lose Its Battle With the SEC"

End of the Runway: SEC Hits Coinbase with Wells Notice

SEC Commissioner Peirce: "Grave Concerns" SEC Trying to Do Too Much at Once

Biden's First Veto Preserves Rule Enabling ESG Investing

Daily Update from Securities Docket

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