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LogoDaily Update from Securities Docket

Archive

Runway Alert: SEC Probe of Kraken for Offering Unregistered Securities at "Advanced Stage"

Feb 9, 2023

•

7 min read

Runway Alert: SEC Probe of Kraken for Offering Unregistered Securities at "Advanced Stage"

Plus the SEC says HODL Law's "anxiety" over potential crypto investigations is not a cause of action.

Bruce Carton
Bruce Carton
"Guilty" -- Crypto Insider Trading Defendant Admits to Wire Fraud Conspiracy Charges

Feb 8, 2023

•

7 min read

"Guilty" -- Crypto Insider Trading Defendant Admits to Wire Fraud Conspiracy Charges

Plus a disastrous effort for sentencing leniency leads to prison for insider trader.

Bruce Carton
Bruce Carton
SEC's Peirce Says Agency is Trying to Play Corporate Manager

Feb 7, 2023

•

6 min read

SEC's Peirce Says Agency is Trying to Play Corporate Manager

Plus Robinhood warns SEC's hindering zero-commission trading is a return to "old boys' club."

Bruce Carton
Bruce Carton
Elon Musk and Tesla Prevail in "Funding Secured" Trial

Feb 6, 2023

•

5 min read

Elon Musk and Tesla Prevail in "Funding Secured" Trial

Plus the SEC sues Activision for diclosure controls related to workplace misconduct.

Bruce Carton
Bruce Carton
Hedge Funds Become Latest Focus in SEC's WhatsApp Probe

Feb 3, 2023

•

7 min read

Hedge Funds Become Latest Focus in SEC's WhatsApp Probe

Plus how much shadow insider trading occurs in ETFs?

Bruce Carton
Bruce Carton
SDNY Judge Dismisses Class Action Against Coinbase for Selling Unregistered Securities

Feb 2, 2023

•

8 min read

SDNY Judge Dismisses Class Action Against Coinbase for Selling Unregistered Securities

Plus a poll on best practices for fleeing the country.

Bruce Carton
Bruce Carton
Will SEC's Crypto Insider Trading Case Lead to Crypto Ice Age?

Feb 1, 2023

•

8 min read

Will SEC's Crypto Insider Trading Case Lead to Crypto Ice Age?

Plus SEC says it cares about companies' climate disclosure, not behavior.

Bruce Carton
Bruce Carton
The "Elon Sweep"

Jan 31, 2023

•

7 min read

The "Elon Sweep"

Plus examiner finds Celsius used new customer funds to pay for withdrawals.

Bruce Carton
Bruce Carton
DOJ and SEC Bear Down on Private Funds

Jan 30, 2023

•

7 min read

DOJ and SEC Bear Down on Private Funds

Plus Sullivan & Cromwell Strikes Gold in FTX Bankruptcy Work

Bruce Carton
Bruce Carton
SEC Reportedly Probing Investment Advisers on Crypto Custody Compliance

Jan 27, 2023

•

8 min read

SEC Reportedly Probing Investment Advisers on Crypto Custody Compliance

Plus will retail investors actually be demonstrating outside the SEC today?

Bruce Carton
Bruce Carton
Morgan Stanley Slams its Bankers with Fines Over $1 Million for Using WhatsApp

Jan 26, 2023

•

9 min read

Morgan Stanley Slams its Bankers with Fines Over $1 Million for Using WhatsApp

Plus the coming tidal wave of ESG-related securities class actions

Bruce Carton
Bruce Carton
Poll: Fix Crypto or Let it Burn?

Jan 25, 2023

•

10 min read

Poll: Fix Crypto or Let it Burn?

Plus take a guess what the PELOSI Act would ban....

Bruce Carton
Bruce Carton
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Daily Update from Securities Docket

Daily Update from Securities Docket

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