Bruce Carton

Bruce Carton is the President of Docket Media LLC and the editor of Securities Docket and Cybersecurity Docket. He is also the founder of the Securities Enforcement Forum and Incident Response Forum conferences. Carton is a former Senior Counsel with the SEC’s Division of Enforcement. He was subsequently a securities litigation and SEC enforcement partner with one of the world’s largest law firms (now known as DLA Piper), and later a Vice President at Institutional Shareholder Services. From 2008-2016, Carton was a featured columnist for Compliance Week on securities enforcement and litigation issues and the author of Compliance Week’s “Enforcement Action” blog. From 2009-2013, Carton was the co-author of Law.com’s popular “Legal Blog Watch” column.

SEC Updates Hacking Incident Response Rules for Financial Firms

Plus why certain Bitcoins are considered rare and "vintage, like a fine wine."

Bruce Carton

Two Brothers Indicted for "First-of-its-Kind Manipulation of the Ethereum Blockchain"

Plus the SEC obtains final judgment in fraud case: "Those are not your cobras." 🐍

Bruce Carton

FTX Customers Will Be Paid Back With Interest ... But "They're Mad Anyway"

Plus not one but TWO polls in this newsletter!

Bruce Carton

Roaring Kitty Returns, GameStop Soars, GameStop Shorts Getting Hammered

Plus "Florida Man's" latest scheme.

Bruce Carton

DOJ Selects Forensic Risk Alliance for Lucrative Binance Monitorship

Plus the SEC sues FAT Brands and senior executives with fraud.

Bruce Carton

SEC Reportedly Investigating Boeing Safety Claims Following 737 Max 9 Panel Incident

Plus executive convicted in Trump Media insider trading trial.

Bruce Carton

Taint of "Sham Audit Mill" Makes it Difficult for BF Borgers' Clients to Find New Auditors

Plus Binance reportedly fired its investigator who exposed a client's market manipulation (WSJ).

Bruce Carton

FTX Customers to Recover 118% of Assets They Stored on FTX

Plus is the SEC an "Entrepreneurial Enforcer?"

Bruce Carton

SEC Issues Wells Notice to Robinhood over Crypto Unit

🍿 Plus get your popcorn ready for today's congressional hearing on SEC enforcement.

Bruce Carton

SEC Charges Audit Firm with Fraud for "Wholesale Failures," "Falsely Documented Work"

Plus the increasing risk to public companies over AI disclosures.

Bruce Carton