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LogoDaily Update from Securities Docket

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Credit Suisse to Pay $10 Million to Settle SEC Charges it Provided Prohibited Mutual Fund Services

Dec 14, 2023

•

9 min read

Credit Suisse to Pay $10 Million to Settle SEC Charges it Provided Prohibited Mutual Fund Services

Plus the SEC approves 2024 PCAOB budget of $385 million.

Bruce Carton
Bruce Carton
CISO Liability to be Tested as SolarWinds Case Heads to Court

Dec 13, 2023

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11 min read

CISO Liability to be Tested as SolarWinds Case Heads to Court

Plus where should the SEC draw the line on the PCAOB's rising budget?

Bruce Carton
Bruce Carton
The Binance Monitorship: "There Has Been Nothing Remotely Close to This"

Dec 12, 2023

•

9 min read

The Binance Monitorship: "There Has Been Nothing Remotely Close to This"

Plus 15 years later, the Madoff trustee sends victims the latest payout.

Bruce Carton
Bruce Carton
$1.5 Billion and Counting: Madoff Case Remains Golden Goose for Trustee and His Law Firm

Dec 11, 2023

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8 min read

$1.5 Billion and Counting: Madoff Case Remains Golden Goose for Trustee and His Law Firm

Plus the SEC argues court should give weight to Binance's admissions in DOJ Settlement.

Bruce Carton
Bruce Carton
Elon Musk Asks Supreme Court to Free Him of "Twitter Sitter"

Dec 8, 2023

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8 min read

Elon Musk Asks Supreme Court to Free Him of "Twitter Sitter"

Plus why Binance's CZ won't be leaving the U.S. before his sentencing.

Bruce Carton
Bruce Carton
JPMorgan CEO's Senate Testimony About Crypto: "I’d Close it Down"

Dec 7, 2023

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6 min read

JPMorgan CEO's Senate Testimony About Crypto: "I’d Close it Down"

Plus discussions with SEC on Bitcoin ETF have reportedly advanced to "key technical details."

Bruce Carton
Bruce Carton
“Can You Tell Me Where Binance’s Headquarters Are?”

Dec 6, 2023

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9 min read

“Can You Tell Me Where Binance’s Headquarters Are?”

Plus the SEC says the new cyber reporting rules may require accountants to weigh in on materiality.

Bruce Carton
Bruce Carton
"I Am Not Uncertain" -- Former FBI Agent Trainee Pleads Guilty to Insider Trading

Dec 5, 2023

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12 min read

"I Am Not Uncertain" -- Former FBI Agent Trainee Pleads Guilty to Insider Trading

Plus new SEC cybersecurity rules are about to go live, but companies may not be ready.

Bruce Carton
Bruce Carton
Federal Judge Orders SEC to Show Cause to Avoid Sanctions for "Misleading" Court on Asset Freeze

Dec 4, 2023

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10 min read

Federal Judge Orders SEC to Show Cause to Avoid Sanctions for "Misleading" Court on Asset Freeze

Plus why Binance's broad settlement with U.S. authorities did not include the SEC.

Bruce Carton
Bruce Carton
Law Firms Cash In on FTX Bankruptcy: "More Lucrative Than Enron or Lehman"

Dec 1, 2023

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10 min read

Law Firms Cash In on FTX Bankruptcy: "More Lucrative Than Enron or Lehman"

Plus the reason the ill-fated WeWork merger press release was mistimed.

Bruce Carton
Bruce Carton
In Jarkesy Oral Argument, Supreme Court Casts Doubt on Use of ALJs

Nov 30, 2023

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9 min read

In Jarkesy Oral Argument, Supreme Court Casts Doubt on Use of ALJs

Plus the SEC charges a real estate fund adviser with fraudulent (but mistimed) scheme to pump WeWork stock.

Bruce Carton
Bruce Carton
Today in the U.S. Supreme Court: Key Oral Argument in SEC v. Jarkesy 👀

Nov 29, 2023

•

10 min read

Today in the U.S. Supreme Court: Key Oral Argument in SEC v. Jarkesy 👀

Plus why BigLaw white collar and SEC enforcement practices are booming.

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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