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LogoDaily Update from Securities Docket
Bruce Carton
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.

Will There Be CLARITY today? Senate Vote on Crypto Bill Set for 2:15 pm ET

Sep 15, 2026

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4 min read

Will There Be CLARITY today? Senate Vote on Crypto Bill Set for 2:15 pm ET

Plus former SEC Commissioner Kara Stein joins Nixon Peabody,

Bruce Carton
Bruce Carton
Early-Bird Registration Now Open for Securities Enforcement Forum D.C. 2026!

Sep 14, 2026

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1 min read

Early-Bird Registration Now Open for Securities Enforcement Forum D.C. 2026!

Please join us Tuesday, November 17 at the Mayflower Hotel in Washington, D.C.

Bruce Carton
Bruce Carton
Citadel Securities Urges SEC to Oversee Certain Prediction Market Contracts

Sep 10, 2026

•

3 min read

Citadel Securities Urges SEC to Oversee Certain Prediction Market Contracts

Plus, the Department of Justice just restrained over $52 million in crypto.

Bruce Carton
Jaclyn Jaeger
Bruce Carton, +1
Singaporean Ringleader of $245 Million Cybercrime Conspiracy Pleads Guilty in Washington D.C.

Sep 9, 2026

•

4 min read

Singaporean Ringleader of $245 Million Cybercrime Conspiracy Pleads Guilty in Washington D.C.

Plus former SEC Commissioners Crenshaw and Lee join law firms.

Bruce Carton
Bruce Carton
SDNY Charges Two Former CEOs ‌of Linqto With $450 Million "Pre-IPO" Fraud

Sep 3, 2026

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2 min read

SDNY Charges Two Former CEOs ‌of Linqto With $450 Million "Pre-IPO" Fraud

Plus why is Kawhi Leonard in this newsletter?

Bruce Carton
Bruce Carton
Kalshi Bans Former Rep. George Santos for Life

Sep 1, 2026

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4 min read

Kalshi Bans Former Rep. George Santos for Life

Plus the SEC asks RIAs for proof that they have access to shares in hot startups.

Bruce Carton
Bruce Carton
Seeking Nominations for Securities Docket’s "Enforcement Elite" for 2026

Aug 28, 2026

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1 min read

Seeking Nominations for Securities Docket’s "Enforcement Elite" for 2026

Please submit your nominations until Friday, October 16, 2026.

Bruce Carton
Bruce Carton
Fifth Circuit Finds for SEC in Off-Channel Communications Dispute

Aug 27, 2026

•

3 min read

Fifth Circuit Finds for SEC in Off-Channel Communications Dispute

Plus the SEC drops case against former Congressman Stephen Buyer.

Bruce Carton
Jennifer Lee
Bruce Carton, +1
Deloitte to Pay $21.5 Million to Settle DOJ Investigation into DEI Policies

Aug 26, 2026

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2 min read

Deloitte to Pay $21.5 Million to Settle DOJ Investigation into DEI Policies

Plus PCAOB is scrapping its office of the investor advocate.

Bruce Carton
Bruce Carton
SEC Probing Near-Meltdown at Situational Awareness Hedge Fund

Aug 25, 2026

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3 min read

SEC Probing Near-Meltdown at Situational Awareness Hedge Fund

Plus the CAT poses budget problems for the SEC.

Bruce Carton
Bruce Carton
Pres. Trump Meets With Crypto Leaders, Regulators, to Urge Passage Of Clarity Act

Aug 20, 2026

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4 min read

Pres. Trump Meets With Crypto Leaders, Regulators, to Urge Passage Of Clarity Act

Plus the CFTC goes easy on former FTX execs due to their extensive cooperation.

Bruce Carton
Bruce Carton
SEC Charges Former Tricolor CEO, CFO, and Senior Director of Finance With Fraudulent Scheme

Aug 19, 2026

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4 min read

SEC Charges Former Tricolor CEO, CFO, and Senior Director of Finance With Fraudulent Scheme

Plus the SDNY brings insider trading case against then-Senior Director of Operations at Treace Medical.

Bruce Carton
Bruce Carton
DOJ Probing Whether VC Firm Partners are Improperly Serving on Boards of Competing AI Companies

Aug 18, 2026

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3 min read

DOJ Probing Whether VC Firm Partners are Improperly Serving on Boards of Competing AI Companies

Plus survey shows most companies would continue to provide quarterly updates regardless of SEC proposal.

Bruce Carton
Bruce Carton
Kalshi Insider Trading Referrals Hit Roadblocks at CFTC

Aug 13, 2026

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2 min read

Kalshi Insider Trading Referrals Hit Roadblocks at CFTC

Plus the series premier of "The Long Game" with Braeden Anderson.

Bruce Carton
Bruce Carton
SEC Charges Goliath Ventures and CEO with $425 Million Ponzi Scheme Involving Over 1,300 investors

Aug 12, 2026

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5 min read

SEC Charges Goliath Ventures and CEO with $425 Million Ponzi Scheme Involving Over 1,300 investors

Plus the SEC brings the latest "family betrayal" insider trading case.

Bruce Carton
Bruce Carton
SEC Charges CEO, Firm With Defrauding Investors in Connection With Investments in Pre-IPO Shares

Aug 11, 2026

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4 min read

SEC Charges CEO, Firm With Defrauding Investors in Connection With Investments in Pre-IPO Shares

Plus the SEC charges Netcapital with fraud for alleged scheme to overstate revenue.

Bruce Carton
Bruce Carton
Senate Advances Crypto Clarity Act for Vote in Mid-September

Aug 10, 2026

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4 min read

Senate Advances Crypto Clarity Act for Vote in Mid-September

Plus Jennifer Lee joins Docket Media as our new President!

Bruce Carton
Bruce Carton
Former Goldman Sachs Banker Convicted of FCPA, Money Laundering Charges

Aug 7, 2026

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3 min read

Former Goldman Sachs Banker Convicted of FCPA, Money Laundering Charges

Plus no-go for the Clarity Act.

Bruce Carton
Bruce Carton
SEC Enforcement Rolls Out New Specialized Unit for Financial Reporting and Accounting

Aug 6, 2026

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3 min read

SEC Enforcement Rolls Out New Specialized Unit for Financial Reporting and Accounting

Plus hedge funds face a wave of cyber attacks.

Bruce Carton
Bruce Carton
Clarity Act in Limbo as Supporters Push for Vote Before August Recess

Aug 5, 2026

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3 min read

Clarity Act in Limbo as Supporters Push for Vote Before August Recess

Plus how Boards are using AI.

Bruce Carton
Bruce Carton
From the Bad Ideas File: Prediction Markets on Wildfires

Aug 4, 2026

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3 min read

From the Bad Ideas File: Prediction Markets on Wildfires

Plus Paul Grewal joins Cognition as CLO.

Bruce Carton
Bruce Carton
Former Congressman George Santos Settles CFTC Charge Over Manipulation on Kalshi

Aug 3, 2026

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3 min read

Former Congressman George Santos Settles CFTC Charge Over Manipulation on Kalshi

Plus the 10th Circuit upholds SEC Bank Secrecy Act enforcement.

Bruce Carton
Bruce Carton
Is the Clarity Act Dead?

Jul 31, 2026

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4 min read

Is the Clarity Act Dead?

Plus NY sues Kalshi and seeks to bar the firm from the state.

Bruce Carton
Bruce Carton
SEC Charges REIT and Founders with $152 Million Fraudulent Real Estate Investment Scheme

Jul 30, 2026

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5 min read

SEC Charges REIT and Founders with $152 Million Fraudulent Real Estate Investment Scheme

Plus Jamie McDonald assumes role of U.S. Attorney for the SDNY.

Bruce Carton
Bruce Carton
Corporate Litigator William Savitt and Team from Wachtell Move to Gibson Dunn

Jul 29, 2026

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3 min read

Corporate Litigator William Savitt and Team from Wachtell Move to Gibson Dunn

Plus the Senate confirms Jay Clayton as Director of National Intelligence.

Bruce Carton
Bruce Carton
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Daily Update from Securities Docket

Daily Update from Securities Docket

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