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Securities Docket

Securities Docket

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Independent publication tracking securities enforcement, litigation, and related compliance.

Recent Posts

Ex-Moelis Banker to Plead Guilty in Global Insider Trading Case – Bloomberg
News•Feb 28, 2026

Ex-Moelis Banker to Plead Guilty in Global Insider Trading Case – Bloomberg

Former Moelis & Co. investment banker Benjamin Taylor will travel from France to the United States to plead guilty to providing confidential deal information to a multinational insider‑trading network. The ring, uncovered in a 2019 indictment, operated across the US, UK, France, Switzerland, Greece, Israel and Hong Kong, and has already produced convictions of several participants, including an ex‑Goldman Sachs banker. Taylor, who has been residing in France—a country that does not extradite its citizens—said he wants to “put the past behind him” and accept responsibility. His plea marks the latest development in a sprawling cross‑border securities fraud case.

By Securities Docket
SEC V. Morocoin and the ‘Schrödinger’s Asset’ Dilemma – McGuireWoods
News•Feb 27, 2026

SEC V. Morocoin and the ‘Schrödinger’s Asset’ Dilemma – McGuireWoods

The SEC filed a lawsuit against Morocoin Tech Corp., three investment clubs and four crypto‑trading platforms, accusing them of a fraudulent token offering that promised outsized returns and left retail investors empty‑handed. The complaint highlights a novel legal question: whether...

By Securities Docket
Venture Fraud | NBER
News•Feb 27, 2026

Venture Fraud | NBER

The NBER study compiled the first large‑scale dataset of 614 U.S. venture‑capital‑backed startups that faced fraud charges since 2000. It shows VC‑backed firms are 54% more likely to be charged with fraud than comparable non‑VC firms in a public‑company subsample....

By Securities Docket
SEC Obtains Final Consent Judgment as to Senior Executive of Brazilian Company Charged with Fraud
News•Feb 27, 2026

SEC Obtains Final Consent Judgment as to Senior Executive of Brazilian Company Charged with Fraud

The U.S. Securities and Exchange Commission secured a final consent judgment against Fernando Passos, former executive vice president of finance and investor relations at IRB Brasil Resseguros. Passos allegedly fabricated a press release and shareholder list claiming Berkshire Hathaway had...

By Securities Docket
Florida Man Arrested in Alleged $328M Crypto Ponzi Scheme
News•Feb 27, 2026

Florida Man Arrested in Alleged $328M Crypto Ponzi Scheme

Federal prosecutors announced the arrest of Christopher Alexander Delgado, a 34‑year‑old from Apopka, Florida, accused of orchestrating what may be the largest crypto‑linked Ponzi scheme in U.S. history. Authorities allege Delgado siphoned roughly $328 million from investors through fraudulent cryptocurrency offerings....

By Securities Docket
A Long-Overdue Reform: The SEC’s New “Open Jacket” Disclosure Policy
News•Feb 26, 2026

A Long-Overdue Reform: The SEC’s New “Open Jacket” Disclosure Policy

The SEC has introduced Section 2.3 of its new Enforcement Manual, requiring staff to disclose any salient, probative evidence to recipients of Wells notices, subject to confidentiality limits. This “open jacket” policy obligates the agency to be forthcoming about the investigative...

By Securities Docket
Wall Street Cop Jay Clayton Says Self-Reporting Firms Can Avoid Prosecution – Bloomberg
News•Feb 26, 2026

Wall Street Cop Jay Clayton Says Self-Reporting Firms Can Avoid Prosecution – Bloomberg

Manhattan US Attorney Jay Clayton announced a new self‑reporting program that lets companies avoid criminal prosecution if they promptly disclose fraud or market‑integrity violations. Eligible firms must fully cooperate with investigators, commit to three years of ongoing disclosure, and compensate...

By Securities Docket
Former Lottery.com Execs Get Civil Penalties in SEC Fraud Case
News•Feb 26, 2026

Former Lottery.com Execs Get Civil Penalties in SEC Fraud Case

Two former Lottery.com executives, CFO Ryan Dickinson and CRO Matthew Clemenson, pleaded guilty to securities fraud for allegedly inflating the company's revenue. A federal judge approved SEC civil penalties, including bans from serving as directors or officers of public companies....

By Securities Docket
The Next American Unwinding – Barron’s
News•Feb 25, 2026

The Next American Unwinding – Barron’s

The Commodity Futures Trading Commission’s enforcement activity on digital assets has sharply contracted, dropping from 58 actions in 2024 to just 13 in 2025. Many ongoing crypto investigations were closed without any claims, and staff who survived a wave of...

By Securities Docket
Sam Bankman-Fried Is Waging a Campaign for a Pardon—But Trump Will Not Grant One, Says White House | Fortune
News•Feb 25, 2026

Sam Bankman-Fried Is Waging a Campaign for a Pardon—But Trump Will Not Grant One, Says White House | Fortune

Convicted crypto fraudster Sam Bankman‑Fried has turned to a MAGA‑styled social media campaign, urging President Donald Trump to grant him a presidential pardon. The effort follows Trump’s recent pardons of high‑profile financial‑crime figures, including Binance founder Changpeng Zhao. A White...

By Securities Docket
Prosecuting Insider Trading in the AI Era – Business Law Today From ABA
News•Feb 25, 2026

Prosecuting Insider Trading in the AI Era – Business Law Today From ABA

The article examines how artificial‑intelligence tools are reshaping insider‑trading prosecutions. Defendants may argue that AI‑generated analysis, rather than material nonpublic information (MNPI), drove their trades, invoking a routine‑strategy or diversification defense. It also explores the “mosaic theory,” suggesting AI can...

By Securities Docket
SEC Obtains Final Consent Judgments as to Joseph C. Lewis, Carolyn W. Carter, Patrick J. O’Connor, and Bryan L. Waugh...
News•Feb 25, 2026

SEC Obtains Final Consent Judgments as to Joseph C. Lewis, Carolyn W. Carter, Patrick J. O’Connor, and Bryan L. Waugh...

The SEC entered final consent judgments against Joseph C. Lewis, his girlfriend Carolyn W. Carter, and pilots Patrick J. O’Connor and Bryan L. Waugh for alleged insider trading. Lewis, as majority owner of a biotechnology investment fund, obtained material nonpublic...

By Securities Docket
CFTC Taps Ex-Prosecutor, ‘Billions’ Adviser for Enforcement
News•Feb 25, 2026

CFTC Taps Ex-Prosecutor, ‘Billions’ Adviser for Enforcement

The U.S. Commodity Futures Trading Commission announced that David Miller will become its enforcement director on March 2, succeeding a period of heightened scrutiny over derivatives trading. Miller, a former federal prosecutor, has spent the last several years as a...

By Securities Docket
WisdomTree Gets SEC Nod for 24/7 Tokenized Money Market Fund – Bloomberg
News•Feb 25, 2026

WisdomTree Gets SEC Nod for 24/7 Tokenized Money Market Fund – Bloomberg

WisdomTree received SEC exemptive relief to issue tokenized shares of its $730 million Treasury Money Market Digital Fund. The approval lets investors buy and sell shares at a constant $1 price around the clock, rather than the traditional once‑daily NAV pricing....

By Securities Docket
SEC Says Former Edison Nation Executives Made False PPE Claims
News•Feb 24, 2026

SEC Says Former Edison Nation Executives Made False PPE Claims

The U.S. Securities and Exchange Commission has filed a fraud action against former Edison Nation chief executive Christopher B. Ferguson and former chief strategy officer Brian P. McFadden, alleging they fabricated purchase‑order data for personal protective equipment during the early...

By Securities Docket

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