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SEC Charges Destiny Robotics with False Statements About "AI Robot At-Home Assistant"

SEC Charges Destiny Robotics with False Statements About "AI Robot At-Home Assistant"

Plus a very tiny insider trading case.

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

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
Bruce Carton
"Is The SEC Finished With NPAs And DPAs?"

"Is The SEC Finished With NPAs And DPAs?"

Plus why is the World Weekly News in this newsletter?

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

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

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

Plus why are Magic Mushrooms in this newsletter? 🍄

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

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

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

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

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

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

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

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

Plus the SEC plans to appeal the Ripple decision.

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

"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
Bruce Carton
SEC Charges Accounting Firm With Aiding and Abetting Massive Securities Fraud

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
Bruce Carton
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