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

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

Plus why is Paul Bilzerian in this newsletter?

Bruce Carton
Bruce Carton
SEC Charges DraftKings with Reg FD Violation

SEC Charges DraftKings with Reg FD Violation

Plus the SEC charges GQG Partners with violating whistleblower protection rule.

Bruce Carton
Bruce Carton
All Five SEC Commissioners Testify Before House Committee on "Oversight of the SEC"

All Five SEC Commissioners Testify Before House Committee on "Oversight of the SEC"

Plus Caroline Ellison sentenced to two years in prison for role in FTX fraud.

Bruce Carton
Bruce Carton
SEC Charges Investment Advisor With Misleading Investors Regarding its "Biblically Responsible Investing" Strategy

SEC Charges Investment Advisor With Misleading Investors Regarding its "Biblically Responsible Investing" Strategy

Plus a poll: how many days/week does your firm require you to be in the office?

Bruce Carton
Bruce Carton
DOJ Has Received Reports From Over 100 Tipsters to Pilot Whistleblower Program

DOJ Has Received Reports From Over 100 Tipsters to Pilot Whistleblower Program

Plus the SEC charges "supposed" DeFi platform Rari Capital with misleading investors, unregistered broker activity.

Bruce Carton
Bruce Carton
SEC Charges Prager Metis with Negligence in FTX Audit, Failure to Understand Crypto Asset Markets

SEC Charges Prager Metis with Negligence in FTX Audit, Failure to Understand Crypto Asset Markets

Plus watch out for "Relationship Investment Scams."

Bruce Carton
Bruce Carton
SEC Charges Kubient's Former CEO, CFO and Audit Committee Chair with Fraud, Lying to Auditors

SEC Charges Kubient's Former CEO, CFO and Audit Committee Chair with Fraud, Lying to Auditors

Plus lock up your Bitcoin: Inmate 88087-510 goes free on September 29.

Bruce Carton
Bruce Carton
SEC Charges Zymergen with Misleading IPO Investors About Market Potential, Revenue Prospects

SEC Charges Zymergen with Misleading IPO Investors About Market Potential, Revenue Prospects

Plus what do non-public information and Fight Club have in common?

Bruce Carton
Bruce Carton
SEC Quietly Shuts Down ESG Task Force

SEC Quietly Shuts Down ESG Task Force

Plus a $102 million legal fee award to two firms for their work in a settlement for investors.

Bruce Carton
Bruce Carton
Researchers Track Impact of SEC Visits to Firms Using Phone Geolocation Data

Researchers Track Impact of SEC Visits to Firms Using Phone Geolocation Data

Plus a sad trombone for the crypto bros who thought "crypto mattered to voters and politicians."

Bruce Carton
Bruce Carton
SEC Charges Deere & Co. with FCPA Violations for Bribes in Thailand

SEC Charges Deere & Co. with FCPA Violations for Bribes in Thailand

Plus Caroline Ellison argues she should receive no jail time in FTX case.

Bruce Carton
Bruce Carton
SEC Charges Keurig with Inaccurate Statements About Recyclability of its K-Cups

SEC Charges Keurig with Inaccurate Statements About Recyclability of its K-Cups

Plus no new trial for Matthew Panuwat in shadow insider trading case.

Bruce Carton
Bruce Carton
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