Archive

SEC Charges Moog Inc. with FCPA Violations for Bribes Paid by Indian Subsidiary

Plus should we be private equity plumbers or Jane Street interns?

Bruce Carton

"Is The SEC Finished With NPAs And DPAs?"

Oct 14, 2024

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9 min read

"Is The SEC Finished With NPAs And DPAs?"

Plus why is the World Weekly News in this newsletter?

Bruce Carton

Oct 11, 2024

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9 min read

SEC Charges Rimar Capital Entities and Owner with Defrauding Investors via "AI-Washing"

Plus today is the last day for nominations for Securities Docket’s “Enforcement Elite” for 2024.

Bruce Carton

SEC and DOJ Charge Numerous Companies and Individuals with Manipulation in Crypto Markets

Oct 10, 2024

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10 min read

SEC and DOJ Charge Numerous Companies and Individuals with Manipulation in Crypto Markets

Plus why are Magic Mushrooms in this newsletter? 🍄

Bruce Carton

Oct 9, 2024

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8 min read

After Receiving Wells Notice, Crypto.com Sues SEC to "Protect the Future of Crypto in the U.S."

Plus the accounting profession gets creative to address shortage of accountants.

Bruce Carton

Stanford Financial Receiver Paying Out Funds, But Many Victims Have Sold Their Claims to Hedge Funds

Oct 8, 2024

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7 min read

Stanford Financial Receiver Paying Out Funds, But Many Victims Have Sold Their Claims to Hedge Funds

Plus reports on the short list for SEC Chairman in a Trump administration.

Bruce Carton

SEC Commissioners Peirce and Uyeda Say Whistleblower Secrecy Undermines Faith in Program

Oct 7, 2024

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6 min read

SEC Commissioners Peirce and Uyeda Say Whistleblower Secrecy Undermines Faith in Program

Plus the Wall Street trading firm making "obscene" profits.

Bruce Carton

Oct 4, 2024

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8 min read

SEC and DOJ Tell Supreme Court Nvidia Investors' Lawsuit Should Not Be Dismissed

Plus 22 state AGs launch investigation into Nasdaq board diversity rules.

Bruce Carton

SEC Enforcement Director Gurbir Grewal Stepping Down, Sanjay Wadhwa Named Acting Director

Oct 3, 2024

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7 min read

SEC Enforcement Director Gurbir Grewal Stepping Down, Sanjay Wadhwa Named Acting Director

Plus the SEC plans to appeal the Ripple decision.

Bruce Carton

"Securities Fraud Squared" -- Can Announcement of Settlement of a Securities Class Action Itself Be Securities Fraud?

Oct 2, 2024

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9 min read

"Securities Fraud Squared" -- Can Announcement of Settlement of a Securities Class Action Itself Be Securities Fraud?

Plus does the disbanding of the SEC's ESG Task Force mean anything?

Bruce Carton

SEC Charges Accounting Firm With Aiding and Abetting Massive Securities Fraud

Oct 1, 2024

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11 min read

SEC Charges Accounting Firm With Aiding and Abetting Massive Securities Fraud

Plus why October 7 may be a key date in the "future of U.S. crypto regulation."

Bruce Carton

SEC Charges London Man with Hacking Five Public Companies to Trade on Inside Information

Sep 30, 2024

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9 min read

SEC Charges London Man with Hacking Five Public Companies to Trade on Inside Information

Plus why is Paul Bilzerian in this newsletter?

Bruce Carton

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SEC Charges Moog Inc. with FCPA Violations for Bribes Paid by Indian Subsidiary

"Is The SEC Finished With NPAs And DPAs?"

SEC Charges Rimar Capital Entities and Owner with Defrauding Investors via "AI-Washing"

SEC and DOJ Charge Numerous Companies and Individuals with Manipulation in Crypto Markets

After Receiving Wells Notice, Crypto.com Sues SEC to "Protect the Future of Crypto in the U.S."

Stanford Financial Receiver Paying Out Funds, But Many Victims Have Sold Their Claims to Hedge Funds

SEC Commissioners Peirce and Uyeda Say Whistleblower Secrecy Undermines Faith in Program

SEC and DOJ Tell Supreme Court Nvidia Investors' Lawsuit Should Not Be Dismissed

SEC Enforcement Director Gurbir Grewal Stepping Down, Sanjay Wadhwa Named Acting Director

"Securities Fraud Squared" -- Can Announcement of Settlement of a Securities Class Action Itself Be Securities Fraud?

SEC Charges Accounting Firm With Aiding and Abetting Massive Securities Fraud

SEC Charges London Man with Hacking Five Public Companies to Trade on Inside Information

Daily Update from Securities Docket

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