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See you at Securities Enforcement Forum 2022!

Nov 15, 2022

•

2 min read

See you at Securities Enforcement Forum 2022!

Today at the Mayflower Hotel in D.C. and online.

Bruce Carton
Bruce Carton
Elizabeth Holmes Sentencing: Prosecutors Seek 15 Years Prison, Holmes Asks for Home Confinement

Nov 14, 2022

•

8 min read

Elizabeth Holmes Sentencing: Prosecutors Seek 15 Years Prison, Holmes Asks for Home Confinement

Plus the FTX debacle worsens every day.

Bruce Carton
Bruce Carton
SEC Hits Pharma CIO with $8 Million Insider Trading Case

Nov 11, 2022

•

9 min read

SEC Hits Pharma CIO with $8 Million Insider Trading Case

Plus FTX CEO's net worth went from $16 billion to zero in one week.

Bruce Carton
Bruce Carton
FTX: "Crypto’s Lehman Moment"

Nov 10, 2022

•

8 min read

FTX: "Crypto’s Lehman Moment"

Plus is the SEC a winner of the midterms?

Bruce Carton
Bruce Carton
SEC's "WhatsApp" Investigation Hits PE Firms

Nov 9, 2022

•

8 min read

SEC's "WhatsApp" Investigation Hits PE Firms

Plus a blockbuster deal brings unwanted drama to crypto.

Bruce Carton
Bruce Carton
Court Grants SEC Summary Judgment in LBRY Crypto Case, Rejects "Fair Notice" Defense

Nov 8, 2022

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8 min read

Court Grants SEC Summary Judgment in LBRY Crypto Case, Rejects "Fair Notice" Defense

Plus the DOJ tracks down and seizes $3.3 billion in Bitcoin.

Bruce Carton
Bruce Carton
Key Case on ALJs reaches U.S. Supreme Court Today

Nov 7, 2022

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7 min read

Key Case on ALJs reaches U.S. Supreme Court Today

Plus the SEC alleges crypto-trading membership club was a Ponzi scheme.

Bruce Carton
Bruce Carton
DOJ and SEC Probing Rule 10b5-1 plans

Nov 4, 2022

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7 min read

DOJ and SEC Probing Rule 10b5-1 plans

Plus Chair Gensler discloses record FY 2022 enforcement stats

Bruce Carton
Bruce Carton
SEC Chair Gensler Breaks Down the "Effective Administration" of Enforcement

Nov 3, 2022

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8 min read

SEC Chair Gensler Breaks Down the "Effective Administration" of Enforcement

Plus be very careful drafting those severance agreements.

Bruce Carton
Bruce Carton
Commissioner Peirce: "It’s Just Not a Good Way of Regulating”

Nov 2, 2022

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6 min read

Commissioner Peirce: "It’s Just Not a Good Way of Regulating”

Plus Senate Republicans want answers.

Bruce Carton
Bruce Carton
PCAOB Enforcement Ramping Up?

Nov 1, 2022

•

8 min read

PCAOB Enforcement Ramping Up?

Plus the SEC is taking a look at Wells Fargo's hiring practices.

Bruce Carton
Bruce Carton
U.S. Judge Abrams on Gag Orders: "What is the SEC So Afraid Of?"

Oct 31, 2022

•

7 min read

U.S. Judge Abrams on Gag Orders: "What is the SEC So Afraid Of?"

Plus the regulator who was just dubbed the "Crypto-Knight.”

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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