Archive

SEC, DOJ Charge Defendants With Over $200 Million Water Vending Machine Ponzi Scheme

Plus SEC Chairman Atkins says agency is mobilizing to make U.S. the crypto capital of the world.

Bruce Carton

Alternative Investments in 401(k)s--WiIl this Train "Leave the Station?"

Aug 14, 2025

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8 min read

Alternative Investments in 401(k)s--WiIl this Train "Leave the Station?"

Plus Wall Street banks are now covering private companies.

Bruce Carton

Do Kwon Pleads Guilty to Terra Fraud, DOJ Will Not Seek Prison Sentence Greater Than 12 Years

Aug 13, 2025

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8 min read

Do Kwon Pleads Guilty to Terra Fraud, DOJ Will Not Seek Prison Sentence Greater Than 12 Years

Plus the "Blockchain Emperor (Still) Has No Clothes?"

Bruce Carton

The "Hobson’s Choice" of the SEC's No-Deny Rule in Settlements

Aug 12, 2025

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9 min read

The "Hobson’s Choice" of the SEC's No-Deny Rule in Settlements

Plus the SEC files a settled enforcement action for a manipulative options spoofing scheme.

Bruce Carton

Binance Founder CZ Deploys "Full Playbook" in Effort to Gain Pardon

Aug 11, 2025

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5 min read

Binance Founder CZ Deploys "Full Playbook" in Effort to Gain Pardon

Plus kangaroo-nicorns.

Bruce Carton

SEC and Ripple Dismiss Appeals, Ending Over Four Years of Litigation

Aug 8, 2025

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7 min read

SEC and Ripple Dismiss Appeals, Ending Over Four Years of Litigation

Plus Paxos settles matter with NYDFS for a total of over $48 million.

Bruce Carton

Aug 7, 2025

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9 min read

"No-Deny" SEC Settlements? No Problem!

Plus Pres. Trump is set to sign an order today allowing for private assets in 401(k)s.

Bruce Carton

Will the SEC Follow the DOJ in Scaling Back Enforcement of the FCPA?

Aug 6, 2025

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8 min read

Will the SEC Follow the DOJ in Scaling Back Enforcement of the FCPA?

Plus the $30-$40 million/year lawyers have arrived.💰

Bruce Carton

Law Firm Fenwick & West Hits it Big with 900,000 Shares in Figma IPO

Aug 5, 2025

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8 min read

Law Firm Fenwick & West Hits it Big with 900,000 Shares in Figma IPO

Plus "tokenization" remains the song of the summer.

Bruce Carton

SEC Taking its Crypto Task Force on the Road

Aug 4, 2025

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8 min read

SEC Taking its Crypto Task Force on the Road

Plus please send your nominations for our “Enforcement Elite” for 2025 and our “Enforcement Hall of Fame.”

Bruce Carton

Aug 1, 2025

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4 min read

Seeking Nominations for Securities Docket’s "Enforcement Elite" for 2025 and for our "Enforcement Hall of Fame"

Please submit nominations until Friday, October 3, 2025.

Bruce Carton

SEC Chairman Atkins: "Despite What the SEC Has Said In the Past, Most Crypto Assets Are Not Securities"

Aug 1, 2025

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8 min read

SEC Chairman Atkins: "Despite What the SEC Has Said In the Past, Most Crypto Assets Are Not Securities"

Plus the Second Circuit overturns the conviction in the first insider trading case involving digital assets.

Bruce Carton

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SEC, DOJ Charge Defendants With Over $200 Million Water Vending Machine Ponzi Scheme

Alternative Investments in 401(k)s--WiIl this Train "Leave the Station?"

Do Kwon Pleads Guilty to Terra Fraud, DOJ Will Not Seek Prison Sentence Greater Than 12 Years

The "Hobson’s Choice" of the SEC's No-Deny Rule in Settlements

Binance Founder CZ Deploys "Full Playbook" in Effort to Gain Pardon

SEC and Ripple Dismiss Appeals, Ending Over Four Years of Litigation

"No-Deny" SEC Settlements? No Problem!

Will the SEC Follow the DOJ in Scaling Back Enforcement of the FCPA?

Law Firm Fenwick & West Hits it Big with 900,000 Shares in Figma IPO

SEC Taking its Crypto Task Force on the Road

Seeking Nominations for Securities Docket’s "Enforcement Elite" for 2025 and for our "Enforcement Hall of Fame"

SEC Chairman Atkins: "Despite What the SEC Has Said In the Past, Most Crypto Assets Are Not Securities"

Daily Update from Securities Docket

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