Archive

SEC Charges Texas Company, Former CEO with Alleged Fraud in Stock Offering

Plus the Supreme Court's decision on tariffs means the D&O risk continues.

Bruce Carton

SEC Charges Texas Brothers With Alleged $12 Million Real Estate Offering Fraud.

Feb 20, 2026

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10 min read

SEC Charges Texas Brothers With Alleged $12 Million Real Estate Offering Fraud.

Plus a federal court somehow seats nine jurors who claim they can be fair and impartial to Elon Musk in Twitter securities class action.

Bruce Carton

Musk Argues SEC's Disclosure Case Against Him is Unconstitutional and Selective Enforcement

Feb 19, 2026

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9 min read

Musk Argues SEC's Disclosure Case Against Him is Unconstitutional and Selective Enforcement

Plus interesting scenes from ETHDenver, where SEC Chairman Paul Atkins and SEC Commissioner Hester Peirce took the stage.

Bruce Carton

SEC Chairman Atkins Floats Safe Harbor from Liability for Disclosure Related to Events "Reasonably Likely to Affect Most Companies"

Feb 18, 2026

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8 min read

SEC Chairman Atkins Floats Safe Harbor from Liability for Disclosure Related to Events "Reasonably Likely to Affect Most Companies"

Plus the CFTC and the states prepare for intense battle regarding jurisdiction over prediction markets.

Bruce Carton

Feb 17, 2026

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8 min read

CFTC Chair Selig Says States are Undermining the Agency’s "Exclusive Jurisdiction" Over Prediction Markets

Plus Rep. Maxine Waters criticizes the SEC's partisan composition and recent regulatory rollbacks.

Bruce Carton

Israeli Prosecutors Indict IDF Reservist for Using Classified Military Information to Trade on Polymarket

Feb 16, 2026

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8 min read

Israeli Prosecutors Indict IDF Reservist for Using Classified Military Information to Trade on Polymarket

Plus the SEC signals that "AI governance and controls are becoming table stakes" for issuers.

Bruce Carton

SEC Chairman Atkins Says Agency Working to Fill "Gaps" Left by Large Staffing Cuts

Feb 13, 2026

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8 min read

SEC Chairman Atkins Says Agency Working to Fill "Gaps" Left by Large Staffing Cuts

Plus how does the CFTC keep getting into this newsletter?

Bruce Carton

SEC Enforcement Director Margaret Ryan Discusses Enforcement Priorities in First Public Remarks

Feb 12, 2026

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9 min read

SEC Enforcement Director Margaret Ryan Discusses Enforcement Priorities in First Public Remarks

Plus SEC whistleblowers went "0 for 24" in most recent quarter.

Bruce Carton

Feb 11, 2026

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9 min read

Sam Bankman-Fried Launches "Long-Shot" Bid for New Trial on FTX Fraud Charges

Plus would you sell the domain name AI.com for $500 million?

Bruce Carton

SEC and Commonwealth Financial Network Reach Tentative Settlement in Seven-Year-Old Case

Feb 10, 2026

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7 min read

SEC and Commonwealth Financial Network Reach Tentative Settlement in Seven-Year-Old Case

Plus the CFTC's Chicago office has reportedly become a "ghost town."

Bruce Carton

House Holds Hearing on How to Restore Accountability, Due Process and Public Confidence in SEC Enforcement

Feb 9, 2026

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8 min read

House Holds Hearing on How to Restore Accountability, Due Process and Public Confidence in SEC Enforcement

Plus the full video from last week's Keynote Q&A Discussion with U.S. Attorney Jay Clayton.

Bruce Carton

U.S. Attorney Jay Clayton Expects Cases Related to Trading in Prediction Markets

Feb 6, 2026

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7 min read

U.S. Attorney Jay Clayton Expects Cases Related to Trading in Prediction Markets

Plus more news from yesterday's Securities Enforcement Forum New York!

Bruce Carton

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SEC Charges Texas Company, Former CEO with Alleged Fraud in Stock Offering

SEC Charges Texas Brothers With Alleged $12 Million Real Estate Offering Fraud.

Musk Argues SEC's Disclosure Case Against Him is Unconstitutional and Selective Enforcement

SEC Chairman Atkins Floats Safe Harbor from Liability for Disclosure Related to Events "Reasonably Likely to Affect Most Companies"

CFTC Chair Selig Says States are Undermining the Agency’s "Exclusive Jurisdiction" Over Prediction Markets

Israeli Prosecutors Indict IDF Reservist for Using Classified Military Information to Trade on Polymarket

SEC Chairman Atkins Says Agency Working to Fill "Gaps" Left by Large Staffing Cuts

SEC Enforcement Director Margaret Ryan Discusses Enforcement Priorities in First Public Remarks

Sam Bankman-Fried Launches "Long-Shot" Bid for New Trial on FTX Fraud Charges

SEC and Commonwealth Financial Network Reach Tentative Settlement in Seven-Year-Old Case

House Holds Hearing on How to Restore Accountability, Due Process and Public Confidence in SEC Enforcement

U.S. Attorney Jay Clayton Expects Cases Related to Trading in Prediction Markets

Daily Update from Securities Docket

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