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LogoDaily Update from Securities Docket

Archive

New "Foreign Extortion Prevention Act" Broadens Antibribery Laws, Complements FCPA

Jan 3, 2024

•

8 min read

New "Foreign Extortion Prevention Act" Broadens Antibribery Laws, Complements FCPA

Plus please vote in this poll: Will the SEC approve a spot Bitcoin ETF this month?

Bruce Carton
Bruce Carton
SEC's Grewal: Conscious Effort to Ensure Penalties Have Deterrent Effect is Working

Jan 2, 2024

•

7 min read

SEC's Grewal: Conscious Effort to Ensure Penalties Have Deterrent Effect is Working

Plus DOJ drops plans for a second trial against Bankman-Fried on remaining charges

Bruce Carton
Bruce Carton
SEC Charges "Self-Styled" Entrepreneur with Fraudulent Securities Offering

Dec 29, 2023

•

6 min read

SEC Charges "Self-Styled" Entrepreneur with Fraudulent Securities Offering

Plus enforcement practices including FCPA drove D.C. law firm lateral hiring in 2023.

Bruce Carton
Bruce Carton
SEC Sues Investment Adviser for Violating MNPI Policies and Procedures

Dec 28, 2023

•

7 min read

SEC Sues Investment Adviser for Violating MNPI Policies and Procedures

Plus a look at the SEC's biggest crypto battles looming in 2024.

Bruce Carton
Bruce Carton
2023's SPAC Disaster: 21 Bankruptcies, $46 Billion in Investor Losses

Dec 27, 2023

•

3 min read

2023's SPAC Disaster: 21 Bankruptcies, $46 Billion in Investor Losses

Plus Grayscale's chairman resigns with SEC's Bitcoin ETF decision imminent.

Bruce Carton
Bruce Carton
SEC Awards $28 Million to Seven Whistleblowers

Dec 26, 2023

•

6 min read

SEC Awards $28 Million to Seven Whistleblowers

Plus the SEC charges DAO, founders with unregistered offer and sale of structured crypto asset securities.

Bruce Carton
Bruce Carton
SEC Charges UAE-Based Company, Former Execs with Financial Fraud

Dec 22, 2023

•

8 min read

SEC Charges UAE-Based Company, Former Execs with Financial Fraud

Plus the SEC "seriously and deeply regrets" errors in Debt Box TRO proceedings.

Bruce Carton
Bruce Carton
Court Enters Judgment of Acquittal for Lawyer Previously Convicted of Insider Trading

Dec 21, 2023

•

11 min read

Court Enters Judgment of Acquittal for Lawyer Previously Convicted of Insider Trading

Plus ex-Gibson Dunn visiting attorney sentenced to two months in prison for insider trading.

Bruce Carton
Bruce Carton
SEC Charges Medical Device CEO with $41 Million Financial Fraud

Dec 20, 2023

•

10 min read

SEC Charges Medical Device CEO with $41 Million Financial Fraud

Plus V.F. Corp. files 8-K addressing “Material Cybersecurity Incidents” on first day of SEC disclosure rule.

Bruce Carton
Bruce Carton
SEC Charges Tingo Mobile Founder with "Massive" Scheme to Fabricate Financial Statements

Dec 19, 2023

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12 min read

SEC Charges Tingo Mobile Founder with "Massive" Scheme to Fabricate Financial Statements

Plus please take this poll about the movie "Trading Places."

Bruce Carton
Bruce Carton
SEC Rejects Coinbase's Petition for New Crypto Rules

Dec 18, 2023

•

8 min read

SEC Rejects Coinbase's Petition for New Crypto Rules

Plus the story of one man's seven month's trapped in a "pig butchering" online labor camp.

Bruce Carton
Bruce Carton
Cattle Ponzi? Cattle Ponzi!!!

Dec 15, 2023

•

8 min read

Cattle Ponzi? Cattle Ponzi!!!

Plus a federal judge confirms Elon Musk must testify in SEC's probe of Twitter buyout.

Bruce Carton
Bruce Carton
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Daily Update from Securities Docket

Daily Update from Securities Docket

Read by defense counsel, in-house counsel, regulators, consultants and everyone else.


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