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Trader Convicted in First Crypto Market Manipulation Case

Apr 19, 2024

•

9 min read

Trader Convicted in First Crypto Market Manipulation Case

Plus the SEC charges Icaro Media with $22 million offering fraud.

Bruce Carton
Bruce Carton
"SEC, NYDFS and Other Financial Regulators: Navigating The New Cyber-Regulatory Paradigm"

Apr 18, 2024

•

2 min read

"SEC, NYDFS and Other Financial Regulators: Navigating The New Cyber-Regulatory Paradigm"

Free link to watch this panel today at 9:30 am ET

Bruce Carton
Bruce Carton
SEC Blocks WhatsApp, Texting on Staff Work Phones

Apr 17, 2024

•

9 min read

SEC Blocks WhatsApp, Texting on Staff Work Phones

Plus Tesla sets up a new shareholder vote on Musk pay package at annual meeting.

Bruce Carton
Bruce Carton
SEC Enforcement Director Grewal Flags "Perfect Storm Brewing Around AI"

Apr 16, 2024

•

9 min read

SEC Enforcement Director Grewal Flags "Perfect Storm Brewing Around AI"

Plus the DOJ is now reviewing other law firm options for lucrative Binance monitorship.

Bruce Carton
Bruce Carton
U.S. Supreme Court Rules Omissions Alone on Material Trends Not Actionable

Apr 15, 2024

•

11 min read

U.S. Supreme Court Rules Omissions Alone on Material Trends Not Actionable

Plus what is a CAIO?

Bruce Carton
Bruce Carton
SEC and Others Feds Probe Morgan Stanley Over Client Vetting

Apr 12, 2024

•

7 min read

SEC and Others Feds Probe Morgan Stanley Over Client Vetting

Plus SEC obtains final judgment in $690 million Ponzi scheme.

Bruce Carton
Bruce Carton
SEC Sends Wells Notice to Uniswap as Unregistered Broker and Exchange

Apr 11, 2024

•

9 min read

SEC Sends Wells Notice to Uniswap as Unregistered Broker and Exchange

Plus the PCAOB hits KPMG with a $25 million fine over alleged exam cheating.

Bruce Carton
Bruce Carton
Why Shadow Insider Trading is a "Red Flag" for Private Companies, Too

Apr 10, 2024

•

11 min read

Why Shadow Insider Trading is a "Red Flag" for Private Companies, Too

Plus your chance to win a Securities Docket hat 🧢

Bruce Carton
Bruce Carton
SEC Says Panuwat Case is "Insider Trading, Pure and Simple" -- Is It?

Apr 9, 2024

•

11 min read

SEC Says Panuwat Case is "Insider Trading, Pure and Simple" -- Is It?

Plus Professor Grundfest unveils his test for "Quantifying the Significance of Circuit Splits."

Bruce Carton
Bruce Carton
Happy Friday in the SEC's Trial Unit as Agency Prevails in Panuwat and Terraform Jury Trials

Apr 8, 2024

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7 min read

Happy Friday in the SEC's Trial Unit as Agency Prevails in Panuwat and Terraform Jury Trials

Plus the SEC's stay of its climate rule should fast-track legal challenges.

Bruce Carton
Bruce Carton
Crypto Firms Team Up With Top Appellate Lawyers in Fifth Circuit Strategy

Apr 5, 2024

•

8 min read

Crypto Firms Team Up With Top Appellate Lawyers in Fifth Circuit Strategy

Plus accounting-related securities class actions rose 10% in 2023.

Bruce Carton
Bruce Carton
SEC Charges Senvest with Recordkeeping Failures in Latest "Off-Channel" Case

Apr 4, 2024

•

8 min read

SEC Charges Senvest with Recordkeeping Failures in Latest "Off-Channel" Case

Plus SEC Enforcement Director Grewal rejects a "decade's worth of arguments" by crypto firms.

Bruce Carton
Bruce Carton
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Daily Update from Securities Docket

Daily Update from Securities Docket

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