Archive

Terraform Agrees to $4.47 Billion Settlement of SEC Case

Plus SEC sues JAG Capital, founder for "lying about nearly every aspect of the fund."

Bruce Carton

SEC Charges Joonko Founder with Fraud, "AI-Washing"

Jun 12, 2024

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10 min read

SEC Charges Joonko Founder with Fraud, "AI-Washing"

Plus “I’m on my yacht and don’t have a printer.”

Bruce Carton

Jun 11, 2024

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8 min read

The "Legal Assault" on the SEC

Plus is speculation a use case for meme coins?

Bruce Carton

SEC Alleges Boiler Room Operators Engaged in "Pre-IPO Fraud Schemes"

Jun 10, 2024

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6 min read

SEC Alleges Boiler Room Operators Engaged in "Pre-IPO Fraud Schemes"

Plus former CIO of Allianz Global pleads guilty to two counts of investment adviser fraud.

Bruce Carton

SEC Overturns Its Initial Denial of Whistleblower Award to Kyle Bass

Jun 7, 2024

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7 min read

SEC Overturns Its Initial Denial of Whistleblower Award to Kyle Bass

Plus DOJ confirms granting several delays in SEC cyber disclosures due to national security.

Bruce Carton

Fifth Circuit Vacates SEC's Private Funds Rule

Jun 6, 2024

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6 min read

Fifth Circuit Vacates SEC's Private Funds Rule

Plus the SEC becomes a nonagenarian today (Happy 90th)!

Bruce Carton

SEC Will Close its Salt Lake Regional Office Later This Year

Jun 5, 2024

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10 min read

SEC Will Close its Salt Lake Regional Office Later This Year

Plus Texas Stock Exchange "TXSE" plans to challenge NYSE and Nasdaq.

Bruce Carton

SEC Obtains Final Judgment Against Former Arista Networks Chairman in Insider Trading Case

Jun 4, 2024

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6 min read

SEC Obtains Final Judgment Against Former Arista Networks Chairman in Insider Trading Case

Plus Dapper Labs settles class alleging NFTs were unregistered securities.

Bruce Carton

SEC Charges Firm, Founder with Scheme to Manipulate Getty Images Stock Via Phony Buyout

Jun 3, 2024

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9 min read

SEC Charges Firm, Founder with Scheme to Manipulate Getty Images Stock Via Phony Buyout

Plus Binance founder CZ begins his four-month sentence in a California prison.

Bruce Carton

The Impact of Whistleblower Programs on In-House Compliance

May 31, 2024

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7 min read

The Impact of Whistleblower Programs on In-House Compliance

Plus Matt Levine's take on how companies could negate the impact of the Panuwat case.

Bruce Carton

SEC's Grewal Details "Five Principles of Effective Cooperation"

May 30, 2024

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9 min read

SEC's Grewal Details "Five Principles of Effective Cooperation"

Plus Rep. McHenry vows “we will have crypto law within the next year, and I can say that with certainty."

Bruce Carton

Judge in DEBT Box Case Orders SEC to Pay $1.8 Million in Fees

May 29, 2024

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9 min read

Judge in DEBT Box Case Orders SEC to Pay $1.8 Million in Fees

Plus former FTX executive sentenced to over seven years in prison.

Bruce Carton

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Terraform Agrees to $4.47 Billion Settlement of SEC Case

SEC Charges Joonko Founder with Fraud, "AI-Washing"

The "Legal Assault" on the SEC

SEC Alleges Boiler Room Operators Engaged in "Pre-IPO Fraud Schemes"

SEC Overturns Its Initial Denial of Whistleblower Award to Kyle Bass

Fifth Circuit Vacates SEC's Private Funds Rule

SEC Will Close its Salt Lake Regional Office Later This Year

SEC Obtains Final Judgment Against Former Arista Networks Chairman in Insider Trading Case

SEC Charges Firm, Founder with Scheme to Manipulate Getty Images Stock Via Phony Buyout

The Impact of Whistleblower Programs on In-House Compliance

SEC's Grewal Details "Five Principles of Effective Cooperation"

Judge in DEBT Box Case Orders SEC to Pay $1.8 Million in Fees

Daily Update from Securities Docket

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