Archive

Early-Bird Registration Still Open for Securities Enforcement Forum New York 2026!

Please join us Thursday, February 5, 2026, at the JW Marriott Essex House in New York City.

Bruce Carton

Despite Ninth Circuit Win, SEC Asks Supreme Court to Take Disgorgement Case

Dec 19, 2025

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7 min read

Despite Ninth Circuit Win, SEC Asks Supreme Court to Take Disgorgement Case

Plus the Terraform bankruptcy plan administrator sues Jump Trading for $4 billion.

Bruce Carton

Dec 18, 2025

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9 min read

DOJ Charges Tricolor Founder, COO with Multi-Year Systemic Fraud

Plus the possible "end of securities class action litigation as we know it."

Bruce Carton

SEC Files Settled Enforcement Action Against Medical Resident for Spoofing

Dec 17, 2025

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8 min read

SEC Files Settled Enforcement Action Against Medical Resident for Spoofing

Plus Hunterbrook pairs investigative journalism with a hedge fund (and litigation).

Bruce Carton

SEC Chairman Atkins Warns "Crypto Could Become the Most Powerful Financial Surveillance Architecture Ever Invented"

Dec 16, 2025

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7 min read

SEC Chairman Atkins Warns "Crypto Could Become the Most Powerful Financial Surveillance Architecture Ever Invented"

Plus what to do about insider trading in prediction markets?

Bruce Carton

The NYT's Deep Dive on the SEC's Pivot Away from Crypto Cases

Dec 15, 2025

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8 min read

The NYT's Deep Dive on the SEC's Pivot Away from Crypto Cases

Plus the SDNY is investigating the "last-ditch funding pleas" leading up to the First Brands bankruptcy.

Bruce Carton

SEC Alleges $18 Million Offering Fraud Targeted at Retail Investors on Discord

Dec 11, 2025

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7 min read

SEC Alleges $18 Million Offering Fraud Targeted at Retail Investors on Discord

Plus a study linking binge-watching late-night TV shows with stock market declines.

Bruce Carton

SEC Chairman Atkins: We Need to "Future-Proof" New Crypto Regulations

Dec 10, 2025

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6 min read

SEC Chairman Atkins: We Need to "Future-Proof" New Crypto Regulations

Plus DOJ official says 2025 was a "reset," white collar cases will now ramp up.

Bruce Carton

"Biblical Oil Firm" is First to Adopt Mandatory Arbitration Clause

Dec 9, 2025

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8 min read

"Biblical Oil Firm" is First to Adopt Mandatory Arbitration Clause

Plus outgoing SEC Commissioner Caroline Crenshaw shares some concerns.

Bruce Carton

SEC Charges Personal Driver of a Hedge Fund Manager for Posing as an Investment Professional

Dec 8, 2025

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9 min read

SEC Charges Personal Driver of a Hedge Fund Manager for Posing as an Investment Professional

Plus more good news for Texas lawyers.

Bruce Carton

Virtu Settles SEC Case Over Access to Client Data, Will Pay $2.5 Million

Dec 5, 2025

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7 min read

Virtu Settles SEC Case Over Access to Client Data, Will Pay $2.5 Million

Plus Chairman Atkins warns of increased scrutiny of Chinese firms in U.S. markets.

Bruce Carton

Dec 4, 2025

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2 min read

Secret Reasons

This newsletter is off today, back tomorrow.

Bruce Carton

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Early-Bird Registration Still Open for Securities Enforcement Forum New York 2026!

Despite Ninth Circuit Win, SEC Asks Supreme Court to Take Disgorgement Case

DOJ Charges Tricolor Founder, COO with Multi-Year Systemic Fraud

SEC Files Settled Enforcement Action Against Medical Resident for Spoofing

SEC Chairman Atkins Warns "Crypto Could Become the Most Powerful Financial Surveillance Architecture Ever Invented"

The NYT's Deep Dive on the SEC's Pivot Away from Crypto Cases

SEC Alleges $18 Million Offering Fraud Targeted at Retail Investors on Discord

SEC Chairman Atkins: We Need to "Future-Proof" New Crypto Regulations

"Biblical Oil Firm" is First to Adopt Mandatory Arbitration Clause

SEC Charges Personal Driver of a Hedge Fund Manager for Posing as an Investment Professional

Virtu Settles SEC Case Over Access to Client Data, Will Pay $2.5 Million

Secret Reasons

Daily Update from Securities Docket

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