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Jennifer Lee
Jennifer Lee
DOJ Probing Allegations Lewandowski Profited Off DHS Role

Oct 23, 2026

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2 min read

DOJ Probing Allegations Lewandowski Profited Off DHS Role

Plus, which SEC Chair went on to the Supreme Court? Take our Friday trivia quiz!

Jennifer Lee
Jaclyn Jaeger
Jennifer Lee, +1
What Happens When a Prediction Market Collapses? Bankruptcy Law May Not Have an Answer

Oct 22, 2026

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5 min read

What Happens When a Prediction Market Collapses? Bankruptcy Law May Not Have an Answer

Plus, where will the SEC's next accounting cases come from? Take our reader poll!

Jennifer Lee
Jaclyn Jaeger
Jennifer Lee, +1
DOJ’s New Whistleblower Program Pays on Charges, Not Convictions

Oct 21, 2026

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4 min read

DOJ’s New Whistleblower Program Pays on Charges, Not Convictions

Plus, Recommended Reads on private credit valuation, cross-trading, and congressional oversight after the midterms

Jaclyn Jaeger
Jennifer Lee
Jaclyn Jaeger, +1
Now Playing Everywhere: Elizabeth Holmes

Oct 20, 2026

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2 min read

Now Playing Everywhere: Elizabeth Holmes

Plus Andrew Left wants his conviction overturned.

Bruce Carton
Jennifer Lee
Bruce Carton, +1
Bank of America to Pay $1.2 Billion Fine for Anti-Money Laundering Violations

Oct 14, 2026

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2 min read

Bank of America to Pay $1.2 Billion Fine for Anti-Money Laundering Violations

Plus, a reader poll on SEC exam priorities as private funds open to retail investors

Jennifer Lee
Jaclyn Jaeger
Jennifer Lee, +1
Kalshi Investigates Well-Timed Bets on Trump’s Press Secretary Pick

Oct 12, 2026

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6 min read

Kalshi Investigates Well-Timed Bets on Trump’s Press Secretary Pick

Plus, Q&A with Ranah Esmaili, Partner at Sidley Austin

Bruce Carton
Jennifer Lee
Bruce Carton, +1
DOJ Fraud Division Directive Calls for Early Asset Seizures and Cooperators

Oct 9, 2026

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3 min read

DOJ Fraud Division Directive Calls for Early Asset Seizures and Cooperators

Plus, how well do you know Rule 10b-5? Find out in our trivia quiz!

Jennifer Lee
Jaclyn Jaeger
Jennifer Lee, +1
SEC Issues First 21(a) Report in Eight Years, Targeting Climate Coalition's Role in Exxon Proxy Fight

Oct 8, 2026

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4 min read

SEC Issues First 21(a) Report in Eight Years, Targeting Climate Coalition's Role in Exxon Proxy Fight

Plus, did we catch you on camera at SEF Central? Scenes from the day inside

Jennifer Lee
Jaclyn Jaeger
Jennifer Lee, +1
Supreme Court Signals Skepticism of 401(k) Private Equity Challenge

Oct 7, 2026

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3 min read

Supreme Court Signals Skepticism of 401(k) Private Equity Challenge

Plus, a poll: what deters cherry-picking more, a $100M firm penalty or an individual settlement?

Jennifer Lee
Jennifer Lee
SEC Charges Former Chairman and CEO of Global Tech Industries With Multi-Year Scheme to Defraud Investors

Oct 6, 2026

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2 min read

SEC Charges Former Chairman and CEO of Global Tech Industries With Multi-Year Scheme to Defraud Investors

Plus Sam Waldon and Mark Cave return to private practice, while Steve Richards rejoins SEC.

Bruce Carton
Jennifer Lee
Bruce Carton, +1
OKX and ICE File With SEC to Launch 24/7 Tokenized Stock Trading

Oct 5, 2026

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6 min read

OKX and ICE File With SEC to Launch 24/7 Tokenized Stock Trading

Plus, Q&A with Sarah Heaton Concannon, Partner at Quinn Emanuel Urquhart & Sullivan

Jennifer Lee
Jennifer Lee
SEC: Adviser Sold the SpaceX Dream, Misused Investors' Money

Oct 2, 2026

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8 min read

SEC: Adviser Sold the SpaceX Dream, Misused Investors' Money

Plus, how well do you know the Securities Act of 1933? Take our Friday trivia quiz!

Jennifer Lee
Jennifer Lee
This newsletter is off today for Securities Enforcement Forum Central, back on Friday!

Oct 1, 2026

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1 min read

This newsletter is off today for Securities Enforcement Forum Central, back on Friday!

Sub-title

Bruce Carton
Jennifer Lee
Bruce Carton, +1
SEC Charges Scammers Who Used Fake SEC Filings as Their Credentials

Sep 30, 2026

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6 min read

SEC Charges Scammers Who Used Fake SEC Filings as Their Credentials

Plus, Director's Cut with Andrew Ceresney, Partner at Debevoise & Plimpton

Jennifer Lee
Jennifer Lee
SEC Commissioner Hester Peirce to Step Down as of October 2

Sep 28, 2026

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3 min read

SEC Commissioner Hester Peirce to Step Down as of October 2

Plus, how well did you know the SEC? Find out Friday's trivia results!

Jennifer Lee
Jennifer Lee
New York to Polymarket: Name Your Bettors

Sep 25, 2026

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5 min read

New York to Polymarket: Name Your Bettors

Plus, how well do you know the SEC? Find out in our Friday trivia quiz!!

Jennifer Lee
Jennifer Lee
SEC: IPOs Raised Five Times More This Year, and the Deals Got Bigger

Sep 24, 2026

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3 min read

SEC: IPOs Raised Five Times More This Year, and the Deals Got Bigger

Plus, Carolyn Welshhans, Partner at Morgan Lewis, on the cases "only the SEC can bring"

Jennifer Lee
Jennifer Lee
SEC ENF Director: "A Healthy Visible Enforcement Program Matters More Than Statistics"

Sep 22, 2026

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5 min read

SEC ENF Director: "A Healthy Visible Enforcement Program Matters More Than Statistics"

Plus, Q&A (Part 2!) with Jim Lundy, Partner at Foley & Lardner.

Jennifer Lee
Jaclyn Jaeger
Jennifer Lee, +1
Polymarket’s Alleged Rush to Grow  Left a Door Open for Fraudsters

Sep 21, 2026

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4 min read

Polymarket’s Alleged Rush to Grow Left a Door Open for Fraudsters

Plus, Q&A with Jim Lundy, Partner at Foley & Lardner

Jennifer Lee
Jaclyn Jaeger
Jennifer Lee, +1
SEC Chair: "We are moving towards a new day—and night—for our capital markets"

Sep 18, 2026

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4 min read

SEC Chair: "We are moving towards a new day—and night—for our capital markets"

Plus, a new prediction market run by a tribe and powered by Kalshi

Jennifer Lee
Jaclyn Jaeger
Jennifer Lee, +1
SEC Officially Proposes Rescinding the Federal Shareholder Proposal Rule

Sep 17, 2026

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4 min read

SEC Officially Proposes Rescinding the Federal Shareholder Proposal Rule

Plus, the SEC brings three insider trading cases with texts!

Jennifer Lee
Jaclyn Jaeger
Jennifer Lee, +1
SDNY: Two Robinhood Engineers Charged with Insider Trading on Hyperliquid Perpetuals

Sep 16, 2026

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3 min read

SDNY: Two Robinhood Engineers Charged with Insider Trading on Hyperliquid Perpetuals

Plus, Q&A with John Sikora, Partner at Latham & Watkins

Jennifer Lee
Jaclyn Jaeger
Jennifer Lee, +1
SEC Enforcement Director: Agency Will Focus on "High-Impact" Cases

Sep 14, 2026

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5 min read

SEC Enforcement Director: Agency Will Focus on "High-Impact" Cases

Plus, Director's Cut with Steve Peikin, Partner at Sullivan & Cromwell and Former SEC Enforcement Co-Director

Jennifer Lee
Jennifer Lee
Sam Bankman-Fried Asks Supreme Court to Overturn Fraud Conviction

Sep 11, 2026

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4 min read

Sam Bankman-Fried Asks Supreme Court to Overturn Fraud Conviction

Plus, a Q&A with David Peavler, Partner at Jones Day.

Jaclyn Jaeger
Jennifer Lee
Jaclyn Jaeger, +1
SEC Proposes Rescinding Investment Adviser Pay-to-Play Rule

Sep 4, 2026

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5 min read

SEC Proposes Rescinding Investment Adviser Pay-to-Play Rule

Plus, Q&A with James Walker, Partner at Ashurst Perkins Coie

Jennifer Lee
Jennifer Lee
Daily Update from Securities Docket

Daily Update from Securities Docket

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