Archive

Crypto Industry Views SEC-Coinbase Battle as "Existential Threat"

Plus why are people kicking two-ton bags of nickel worldwide?

Bruce Carton

"Why Coinbase Will Lose Its Battle With the SEC"

Mar 24, 2023

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10 min read

"Why Coinbase Will Lose Its Battle With the SEC"

Plus Terraform's Do Kwon is apprehended in Montenegro and charged by U.S. prosecutors.

Bruce Carton

End of the Runway: SEC Hits Coinbase with Wells Notice

Mar 23, 2023

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9 min read

End of the Runway: SEC Hits Coinbase with Wells Notice

Plus the SEC sues Tron founder Justin Sun (and Lindsay Lohan, Jake Paul and others)

Bruce Carton

SEC Commissioner Peirce: "Grave Concerns" SEC Trying to Do Too Much at Once

Mar 22, 2023

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8 min read

SEC Commissioner Peirce: "Grave Concerns" SEC Trying to Do Too Much at Once

Plus a new crypto ad mandate in Belgium: “The Only Guarantee in Crypto is Risk”

Bruce Carton

Biden's First Veto Preserves Rule Enabling ESG Investing

Mar 21, 2023

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7 min read

Biden's First Veto Preserves Rule Enabling ESG Investing

Plus Gov. DeSantis seeks to ban CBDCs in Florida.

Bruce Carton

DOJ Says Missteps by Ericsson and its Outside Lawyers Led to $207 Million in Fines

Mar 20, 2023

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8 min read

DOJ Says Missteps by Ericsson and its Outside Lawyers Led to $207 Million in Fines

Plus scrutiny of KPMG's independence after auditing SVB for nearly 30 years.

Bruce Carton

ProPublica's Deep Dive into Executives Trading in Competitors' Stock

Mar 17, 2023

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10 min read

ProPublica's Deep Dive into Executives Trading in Competitors' Stock

Plus the SEC charges cannabis company with $30 million fraud.

Bruce Carton

DOJ and SEC Charge Exiled Chinese Businessman with $850 Million Fraud Conspiracy

Mar 16, 2023

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7 min read

DOJ and SEC Charge Exiled Chinese Businessman with $850 Million Fraud Conspiracy

Plus the SEC rolls out strict new proposed cybersecurity rules for financial firms.

Bruce Carton

Everyone Investigating Everything at SVB All at Once

Mar 15, 2023

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9 min read

Everyone Investigating Everything at SVB All at Once

Plus the SEC charges DXC Technology for misleading non-GAAP disclosures.

Bruce Carton

DOJ Pressure Has In-House Counsel "Bombarding" Attorneys with Questions About Messaging Apps.

Mar 14, 2023

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7 min read

DOJ Pressure Has In-House Counsel "Bombarding" Attorneys with Questions About Messaging Apps.

Plus KPMG to face scrutiny for recent SVB and Signature Bank audits.

Bruce Carton

Former Congressman Stephen Buyer Convicted of Insider Trading

Mar 13, 2023

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9 min read

Former Congressman Stephen Buyer Convicted of Insider Trading

Plus Theranos' Balwani loses motion, must report to prison on Wednesday.

Bruce Carton

SEC's Cyber Unit Brings Action for Misleading Disclosures About Ransomware Attack

Mar 10, 2023

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8 min read

SEC's Cyber Unit Brings Action for Misleading Disclosures About Ransomware Attack

Plus Ethereum either is or is not a security (depends which regulator you ask).

Bruce Carton

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Crypto Industry Views SEC-Coinbase Battle as "Existential Threat"

"Why Coinbase Will Lose Its Battle With the SEC"

End of the Runway: SEC Hits Coinbase with Wells Notice

SEC Commissioner Peirce: "Grave Concerns" SEC Trying to Do Too Much at Once

Biden's First Veto Preserves Rule Enabling ESG Investing

DOJ Says Missteps by Ericsson and its Outside Lawyers Led to $207 Million in Fines

ProPublica's Deep Dive into Executives Trading in Competitors' Stock

DOJ and SEC Charge Exiled Chinese Businessman with $850 Million Fraud Conspiracy

Everyone Investigating Everything at SVB All at Once

DOJ Pressure Has In-House Counsel "Bombarding" Attorneys with Questions About Messaging Apps.

Former Congressman Stephen Buyer Convicted of Insider Trading

SEC's Cyber Unit Brings Action for Misleading Disclosures About Ransomware Attack

Daily Update from Securities Docket

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