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FTX, FTX, FTX!

Oct 10, 2023

•

6 min read

FTX, FTX, FTX!

Plus do you have your "Going Infinite" tote bag yet?

Bruce Carton
Bruce Carton
New DOJ Policy Offers Cooperation Credit in M&A Transactions

Oct 9, 2023

•

7 min read

New DOJ Policy Offers Cooperation Credit in M&A Transactions

Plus: "Math nerd" or crypto criminal?

Bruce Carton
Bruce Carton
Key FTX Question: "Is it Possible to Lose Track of $8 Billion Through an Honest Mistake?"

Oct 6, 2023

•

10 min read

Key FTX Question: "Is it Possible to Lose Track of $8 Billion Through an Honest Mistake?"

Plus the SEC brings rare subpoena enforcement action against Elon Musk for testimony.

Bruce Carton
Bruce Carton
Unpacking Day One of the Bankman-Fried Trial: The "Math Nerd" Defense

Oct 5, 2023

•

9 min read

Unpacking Day One of the Bankman-Fried Trial: The "Math Nerd" Defense

Plus a new study analyzes why and how the SEC brings so many enforcement actions each September.

Bruce Carton
Bruce Carton
Court Denies SEC Request to Appeal Ripple Labs Decision Before Trial

Oct 4, 2023

•

10 min read

Court Denies SEC Request to Appeal Ripple Labs Decision Before Trial

Plus the SDNY is hosting the "Crypto Prom."

Bruce Carton
Bruce Carton
SEC's Flurry of Cases to Close Year Results in "Bonanza" for Big Law

Oct 3, 2023

•

10 min read

SEC's Flurry of Cases to Close Year Results in "Bonanza" for Big Law

Plus passing inside information to a tippee via Xbox 360 chat.

Bruce Carton
Bruce Carton
Judge Rules Bankman-Fried Can't Blame Lawyers (Yet) as Trial Starts Tomorrow

Oct 2, 2023

•

10 min read

Judge Rules Bankman-Fried Can't Blame Lawyers (Yet) as Trial Starts Tomorrow

Plus the SEC files a must-read insider trading case against a former Goldman banker.

Bruce Carton
Bruce Carton
This Newsletter is Off Today, Back Monday

Sep 29, 2023

•

1 min read

This Newsletter is Off Today, Back Monday

Bruce Carton
Bruce Carton
Report: SEC Settlement with B-Ds and Investment Advisers in WhatsApp Probe is Imminent

Sep 28, 2023

•

9 min read

Report: SEC Settlement with B-Ds and Investment Advisers in WhatsApp Probe is Imminent

Plus SEC charges three brothers with insider trading.

Bruce Carton
Bruce Carton
SEC Charges Hyzon Motors and Former Execs with Misleading Investors

Sep 27, 2023

•

10 min read

SEC Charges Hyzon Motors and Former Execs with Misleading Investors

Plus SEC Chair Gensler will testify before the House Financial Services Committee today.

Bruce Carton
Bruce Carton
SEC Charges GTT Communications with Disclosure Failures Over Adjustments to Operating Income

Sep 26, 2023

•

9 min read

SEC Charges GTT Communications with Disclosure Failures Over Adjustments to Operating Income

Plus the SEC comes for the "The Cash Flow King" podcast.

Bruce Carton
Bruce Carton
SEC Collects Thousands of Private Messages from Over a Dozen Investment Companies

Sep 25, 2023

•

10 min read

SEC Collects Thousands of Private Messages from Over a Dozen Investment Companies

Plus the SEC charges a Deutsche Bank subsidiary with AML and ESG-related violations.

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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