Archive

Everyone Investigating Everything at SVB All at Once

Plus the SEC charges DXC Technology for misleading non-GAAP disclosures.

Bruce Carton

DOJ Pressure Has In-House Counsel "Bombarding" Attorneys with Questions About Messaging Apps.

Mar 14, 2023

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7 min read

DOJ Pressure Has In-House Counsel "Bombarding" Attorneys with Questions About Messaging Apps.

Plus KPMG to face scrutiny for recent SVB and Signature Bank audits.

Bruce Carton

Former Congressman Stephen Buyer Convicted of Insider Trading

Mar 13, 2023

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9 min read

Former Congressman Stephen Buyer Convicted of Insider Trading

Plus Theranos' Balwani loses motion, must report to prison on Wednesday.

Bruce Carton

SEC's Cyber Unit Brings Action for Misleading Disclosures About Ransomware Attack

Mar 10, 2023

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8 min read

SEC's Cyber Unit Brings Action for Misleading Disclosures About Ransomware Attack

Plus Ethereum either is or is not a security (depends which regulator you ask).

Bruce Carton

PCAOB Warning: Crypto "Reserve Reports" are Not Audits and Cannot be Trusted

Mar 9, 2023

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8 min read

PCAOB Warning: Crypto "Reserve Reports" are Not Audits and Cannot be Trusted

Plus down goes Silvergate Capital.

Bruce Carton

Reading the Tea Leaves Following the Grayscale-SEC Oral Argument

Mar 8, 2023

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8 min read

Reading the Tea Leaves Following the Grayscale-SEC Oral Argument

Plus the "Wolf of Wall Street" returns ... in Brazil.

Bruce Carton

FTX Bankruptcy Lawyers and Advisers Rack Up $38M in Fees in January

Mar 7, 2023

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10 min read

FTX Bankruptcy Lawyers and Advisers Rack Up $38M in Fees in January

Plus the Grayscale-SEC legal battle will be heard by the D.C. Circuit today.

Bruce Carton

Fourth Circuit Preserves SEC's Data-Based Insider Trading Cases

Mar 6, 2023

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7 min read

Fourth Circuit Preserves SEC's Data-Based Insider Trading Cases

Plus a former SEC Chair asks "why would the SEC want to read your personal texts?"

Bruce Carton

Gone "Missing" -- $8.9 Billion in FTX Customer Funds

Mar 3, 2023

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8 min read

Gone "Missing" -- $8.9 Billion in FTX Customer Funds

Plus U.S. Senators label Binance “a hotbed of illegal financial activity."

Bruce Carton

DOJ and SEC Bring "Groundbreaking" Charges for Misuse of 10b5-1 Trading Plan

Mar 2, 2023

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10 min read

DOJ and SEC Bring "Groundbreaking" Charges for Misuse of 10b5-1 Trading Plan

Plus Glencore ordered to pay $700 Million for FCPA violation.

Bruce Carton

Third FTX Domino Falls as Former Director of Engineering Pleads Guilty to Fraud

Mar 1, 2023

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8 min read

Third FTX Domino Falls as Former Director of Engineering Pleads Guilty to Fraud

Plus meet the CFTC's new Director of Enforcement.

Bruce Carton

$1.35 Billion Settlement by Banks in Stanford Financial Litigation Avoids Trial Next Week

Feb 28, 2023

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9 min read

$1.35 Billion Settlement by Banks in Stanford Financial Litigation Avoids Trial Next Week

Plus Robinhood Discloses SEC Subpoena Regarding its Crypto Business 👀

Bruce Carton

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Everyone Investigating Everything at SVB All at Once

DOJ Pressure Has In-House Counsel "Bombarding" Attorneys with Questions About Messaging Apps.

Former Congressman Stephen Buyer Convicted of Insider Trading

SEC's Cyber Unit Brings Action for Misleading Disclosures About Ransomware Attack

PCAOB Warning: Crypto "Reserve Reports" are Not Audits and Cannot be Trusted

Reading the Tea Leaves Following the Grayscale-SEC Oral Argument

FTX Bankruptcy Lawyers and Advisers Rack Up $38M in Fees in January

Fourth Circuit Preserves SEC's Data-Based Insider Trading Cases

Gone "Missing" -- $8.9 Billion in FTX Customer Funds

DOJ and SEC Bring "Groundbreaking" Charges for Misuse of 10b5-1 Trading Plan

Third FTX Domino Falls as Former Director of Engineering Pleads Guilty to Fraud

$1.35 Billion Settlement by Banks in Stanford Financial Litigation Avoids Trial Next Week

Daily Update from Securities Docket

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