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Securities Docket

@SecuritiesD

The Hub of Securities Enforcement. Covers SEC, criminal, global, and more. Newsletter: https://teapawt.net/t.co/0j189hxnJr

 Washington, DC
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Joined September 2008
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Read the Daily Update from Securities Docket for October 29, 2026. securitiesdocket.beehiiv.com…
Powerhouse Law Firm Weil, Gotshal Plans to Dissolve

Powerhouse Law Firm Weil, Gotshal Plans to Dissolve

Plus Utah charges Kalshi with promoting online gambling.

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Read the Daily Update from Securities Docket for October 28, 2026. securitiesdocket.beehiiv.com…
SEC to Rajaratnam: A Settled Bar Stays Settled

SEC to Rajaratnam: A Settled Bar Stays Settled

Plus, In-House Insights with Ryan VanGrack, Vice Chairman of Coinbase

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Read the Daily Update from Securities Docket for October 27, 2026. securitiesdocket.beehiiv.com…
Polymarket Says It Has Investigated “Dozens” of Election Bets

Polymarket Says It Has Investigated “Dozens” of Election Bets

Plus, Four Congressional Updates for Securities Lawyers

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"Securities Enforcement State of Play - What is Actually Going On (and What is Not) at the SEC, DOJ, and Elsewhere" Panelists: Steven Peikin, Partner, Sullivan & Cromwell Sarah Heaton Concannon, Partner, Quinn Emanuel Cicely LaMothe, Partner, AlixPartners Gerry Moody, Partner, Akin Gump Tejal Shah, Partner, Cooley Securities Enforcement Forum D.C. 2026. November 17, 2026. The Mayflower Hotel. For more information, visit docketevents.com.
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"Financial Reporting & Accounting Fraud: A “Core” Enforcement Focus (and a New Unit!)" Panelists: Jason Flemmons, Senior Managing Director, Ankura Veronica Callahan, Partner, Arnold & Porter Brian Kowalski, Partner, Latham & Watkins Jennifer Leete, Partner, Cravath, Swaine & Moore Matt Solomon, Partner, Cleary Gottlieb Steen & Hamilton Securities Enforcement Forum D.C. 2026. November 17, 2026. The Mayflower Hotel. For more information, visit docketevents.com.
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Read the Daily Update from Securities Docket for October 26, 2026. securitiesdocket.beehiiv.com…
SEC Sets 2027 Exam Priorities: Retail Investors, Private Credit, and Superintelligence

SEC Sets 2027 Exam Priorities: Retail Investors, Private Credit, and Superintelligence

Plus, Q&A with Lorin Reisner, Partner at Paul, Weiss: "There is almost no investigation that can’t be completed within a year or less"

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Read the Daily Update from Securities Docket for October 23, 2026. securitiesdocket.beehiiv.com…
DOJ Probing Allegations Lewandowski Profited Off DHS Role

DOJ Probing Allegations Lewandowski Profited Off DHS Role

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

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Read the Daily Update from Securities Docket for October 22, 2026. securitiesdocket.beehiiv.com…
What Happens When a Prediction Market Collapses? Bankruptcy Law May Not Have an Answer

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!

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Read the Daily Update from Securities Docket for October 21, 2026. securitiesdocket.beehiiv.com…
DOJ’s New Whistleblower Program Pays on Charges, Not Convictions

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

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Read the Daily Update from Securities Docket for October 20, 2026. securitiesdocket.beehiiv.com…
Now Playing Everywhere: Elizabeth Holmes

Now Playing Everywhere: Elizabeth Holmes

Plus Andrew Left wants his conviction overturned.

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Read the Daily Update from Securities Docket for October 19, 2026. securitiesdocket.beehiiv.com…
SEC to Advisers on AI: Don’t Wait for Our Guidance

SEC to Advisers on AI: Don’t Wait for Our Guidance

Plus, Q&A with Carolyn Welshhans of Morgan Lewis on the SEC's approach to emerging technologies

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Read the Daily Update from Securities Docket for October 15, 2026. securitiesdocket.beehiiv.com…
DOJ's Fraud Division, IRS Expose More Than $490M in Tax Fraud in Enforcement Sweep

DOJ's Fraud Division, IRS Expose More Than $490M in Tax Fraud in Enforcement Sweep

Plus, “Not the Best Use of Language for the SEC”: Eight Cyber Lessons from IRF West

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Read the Daily Update from Securities Docket for October 9, 2026. securitiesdocket.beehiiv.com…
DOJ Fraud Division Directive Calls for Early Asset Seizures and Cooperators

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!

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Read the Daily Update from Securities Docket for October 8, 2026. securitiesdocket.beehiiv.com…
SEC Issues First 21(a) Report in Eight Years, Targeting Climate Coalition's Role in Exxon Proxy...

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

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

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Read the Daily Update from Securities Docket for October 7, 2026. securitiesdocket.beehiiv.com…
Supreme Court Signals Skepticism of 401(k) Private Equity Challenge

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

OPlus

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"Back to the Future: A Look at Past Crises and Scandals with Modern Relevance" Panelists: David Hirsch, Partner, McGuireWoods Anne Gearan, Partner, FGS Global Ann Gittleman, Managing Director, Kroll Lorin Reisner, Partner, Paul, Weiss, Rifkind, Wharton & Garrison Mark Schonfeld, Partner, Gibson Dunn Sam Waldon, Partner, WilmerHale Securities Enforcement Forum D.C. 2026. November 17, 2026. The Mayflower Hotel. For more information, visit docketevents.com.
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Read the Daily Update from Securities Docket for October 6, 2026. securitiesdocket.beehiiv.com…
SEC Charges Former Chairman and CEO of Global Tech Industries With Multi-Year Scheme to Defraud...

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

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

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"SEC Practice: Evolving Best Practices in the Wells Process, Settlements and Investigations" Panelists: Daniel Hayes, Partner, Venable LLP Ann Gittleman Walier, Managing Director, Kroll Paul Helms, Partner, McDermott Will & Schulte Kristy Littman, Partner, Willkie Farr & Gallagher LLP Scott Mascianica, Partner, Bradley Arant Boult Cummings LLP Securities Enforcement Forum Central 2026. October 1, 2026. The Ritz-Carlton, Chicago. youtu.be/LCFW58V2hws?si=PcVi…
SEC Practice: Evolving Best Practices in the Wells Process, Settlements and Investigations

SEC Practice: Evolving Best Practices in the Wells Process, Settlements and Investigations

Daniel Hayes, Partner, VenableAnn Gittleman, Managing Director, Kr...

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