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Archive

FTX: "Crypto’s Lehman Moment"

Nov 10, 2022

•

8 min read

FTX: "Crypto’s Lehman Moment"

Plus is the SEC a winner of the midterms?

Bruce Carton
Bruce Carton
SEC's "WhatsApp" Investigation Hits PE Firms

Nov 9, 2022

•

8 min read

SEC's "WhatsApp" Investigation Hits PE Firms

Plus a blockbuster deal brings unwanted drama to crypto.

Bruce Carton
Bruce Carton
Court Grants SEC Summary Judgment in LBRY Crypto Case, Rejects "Fair Notice" Defense

Nov 8, 2022

•

8 min read

Court Grants SEC Summary Judgment in LBRY Crypto Case, Rejects "Fair Notice" Defense

Plus the DOJ tracks down and seizes $3.3 billion in Bitcoin.

Bruce Carton
Bruce Carton
Key Case on ALJs reaches U.S. Supreme Court Today

Nov 7, 2022

•

7 min read

Key Case on ALJs reaches U.S. Supreme Court Today

Plus the SEC alleges crypto-trading membership club was a Ponzi scheme.

Bruce Carton
Bruce Carton
DOJ and SEC Probing Rule 10b5-1 plans

Nov 4, 2022

•

7 min read

DOJ and SEC Probing Rule 10b5-1 plans

Plus Chair Gensler discloses record FY 2022 enforcement stats

Bruce Carton
Bruce Carton
SEC Chair Gensler Breaks Down the "Effective Administration" of Enforcement

Nov 3, 2022

•

8 min read

SEC Chair Gensler Breaks Down the "Effective Administration" of Enforcement

Plus be very careful drafting those severance agreements.

Bruce Carton
Bruce Carton
Commissioner Peirce: "It’s Just Not a Good Way of Regulating”

Nov 2, 2022

•

6 min read

Commissioner Peirce: "It’s Just Not a Good Way of Regulating”

Plus Senate Republicans want answers.

Bruce Carton
Bruce Carton
PCAOB Enforcement Ramping Up?

Nov 1, 2022

•

8 min read

PCAOB Enforcement Ramping Up?

Plus the SEC is taking a look at Wells Fargo's hiring practices.

Bruce Carton
Bruce Carton
U.S. Judge Abrams on Gag Orders: "What is the SEC So Afraid Of?"

Oct 31, 2022

•

7 min read

U.S. Judge Abrams on Gag Orders: "What is the SEC So Afraid Of?"

Plus the regulator who was just dubbed the "Crypto-Knight.”

Bruce Carton
Bruce Carton
"Gary Gensler’s Bad Performance Review"

Oct 28, 2022

•

6 min read

"Gary Gensler’s Bad Performance Review"

Plus does crypto actually bolster financial inclusion?

Bruce Carton
Bruce Carton
SEC Approves Final "Clawback Rule" for Executive Bonuses

Oct 27, 2022

•

7 min read

SEC Approves Final "Clawback Rule" for Executive Bonuses

Plus which firm is in more litigation, Tesla or Coinbase?

Bruce Carton
Bruce Carton
"Funding Secured," Elon Musk's Tweet that Will Never Die

Oct 26, 2022

•

7 min read

"Funding Secured," Elon Musk's Tweet that Will Never Die

Plus should the SEC absorb the PCAOB?

Bruce Carton
Bruce Carton
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Daily Update from Securities Docket

Daily Update from Securities Docket

Read by defense counsel, in-house counsel, regulators, consultants and everyone else.


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