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SEC to Dismiss 42 Enforcement Actions Over Improper Data Access

Jun 5, 2023

•

10 min read

SEC to Dismiss 42 Enforcement Actions Over Improper Data Access

Plus a mysterious trade of 100,000 call options hits big after debt ceiling agreement -- and draws major attention.

Bruce Carton
Bruce Carton
U.S. Supreme Court Makes Life Very Difficult for Plaintiffs Suing Under Section 11 for Direct Listings

Jun 2, 2023

•

10 min read

U.S. Supreme Court Makes Life Very Difficult for Plaintiffs Suing Under Section 11 for Direct Listings

Plus Dogecoin investors allege insider trading via "carnival barking" by Elon Musk.

Bruce Carton
Bruce Carton
SEC Sues "Queen of Mobile Homes" (Self-Proclaimed) for Fraudulent Investment Scheme

Jun 1, 2023

•

10 min read

SEC Sues "Queen of Mobile Homes" (Self-Proclaimed) for Fraudulent Investment Scheme

Plus the SEC mourns the passing of Harvey Pitt.

Bruce Carton
Bruce Carton
In Memory: Former SEC Chairman Harvey Pitt

May 31, 2023

•

9 min read

In Memory: Former SEC Chairman Harvey Pitt

Plus FTX's Bankman-Fried preparing "advice of counsel" defense to criminal charges.

Bruce Carton
Bruce Carton
SEC Sues "Influencer" in $100 Million Stock Manipulation Scheme

May 30, 2023

•

8 min read

SEC Sues "Influencer" in $100 Million Stock Manipulation Scheme

Plus today's the day for Theranos' Elizabeth Holmes.

Bruce Carton
Bruce Carton
WSJ Scoop: $279 Million Whistleblower Award was from Ericsson Bribery Case

May 26, 2023

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8 min read

WSJ Scoop: $279 Million Whistleblower Award was from Ericsson Bribery Case

Plus a change in the introductory disclaimer language for SEC speakers.

Bruce Carton
Bruce Carton
SEC Sues WeedGenics for $60 Million Offering Fraud

May 25, 2023

•

10 min read

SEC Sues WeedGenics for $60 Million Offering Fraud

Plus a look at the mountain of evidence in the FTX criminal case.

Bruce Carton
Bruce Carton
RFK Jr. is Happy to Take Your Campaign Donation in Bitcoin

May 22, 2023

•

5 min read

RFK Jr. is Happy to Take Your Campaign Donation in Bitcoin

Plus get ready for tomorrow's Securities Enforcement Forum West 2023!

Bruce Carton
Bruce Carton
SEC Enforcement Director Pushes Faster Investigations, Limits on Wells Meetings

May 19, 2023

•

7 min read

SEC Enforcement Director Pushes Faster Investigations, Limits on Wells Meetings

Plus Charlie Janice indicted for defrauding JPMorgan in Frank acquisition.

Bruce Carton
Bruce Carton
SEC Chair Gensler Emphasizes (Again): Existing SEC Rules Apply to Crypto

May 18, 2023

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9 min read

SEC Chair Gensler Emphasizes (Again): Existing SEC Rules Apply to Crypto

Plus former biopharmaceutical CFO pleads guilty in insider trading case.

Bruce Carton
Bruce Carton
Court Orders Double Whammy for Theranos' Holmes: Prison and $452 Million in Restitution

May 17, 2023

•

10 min read

Court Orders Double Whammy for Theranos' Holmes: Prison and $452 Million in Restitution

Plus Ripple judge rules SEC cannot seal documents related to Hinman speech on crypto.

Bruce Carton
Bruce Carton
Wells Fargo to Pay $1 Billion to Shareholders Over Cleanup of 2016 Fake Accounts Scandal

May 16, 2023

•

8 min read

Wells Fargo to Pay $1 Billion to Shareholders Over Cleanup of 2016 Fake Accounts Scandal

Plus Second Circuit tells Elon Musk his "Twitter Sitter" is here to stay.

Bruce Carton
Bruce Carton
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Daily Update from Securities Docket

Daily Update from Securities Docket

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