The SEC Doesn't Care About Attorney-Client Privilege
Not when there's some potential hacking-based insider-trading to probe.
Priestly Hedge Fund Manager Needs God’s Absolution, Because He’s Not Getting It From The Courts
Which also means Emmanuel Lemelson may soon have to drop the “hedge fund manager” bit from his unusual title.
Useless COVID-19 Drug Was Allegedly Also Useless As An HIV Drug, But Very Useful As A Talking Point
It sure was an (alleged) shot in the arm for two executives’ stock holdings.
Streaming Yoga Company At Peace With Lying, Anti-Whistleblower Allegations
Gaia takes back control with a donation of material abstractions to the Securities and Exchange Commission.
While It Waits For That Fee Information, SEC Decides To Have A Look At Private Equity Firms’ Messaging Hygiene
We’re guessing Gary Gensler, et. al. suspect it’s not so good.
Supreme Court Poised To Let Accused Fraudsters Bring Challenges To SEC In-House Courts’ Constitutionality Earlier Rather Than Simply Ruling On SEC In-House Courts’ Constitutionality
What, is deciding the constitutionality of things the Supreme Court’s job or something?
The United States Dropped The Ball On Corporate Responsibility... Outsiders Picked It Up And Ran
The federal government relies on some help these days.
Look At Elon Musk’s Record Rather Than His Speech If You’re Worried About Twitter Takeover
It's almost as if carefully thinking through and thoroughly reflecting upon everything he says before he says it is not Musk’s strong suit.
JPMorgan Pays Whistleblower To Shut Up, Like It Should Have Done A Year Ago
You know, before she said all of that stuff about breaking all of those promises it made to the Justice Department.
Gary Gensler May Need No Sleep, But The SEC Staff Does
The regulators are feeling wrung out by all the regulating.
SEC Expects To Shame Shameless Industry Into Slashing Shameful Fee Structures
You can make a hedge fund ‘fess up, but you can’t stop it from making its clients cover the costs.
Alleged Fraudsters Who Nearly Settled For $15 Million Now Begging To Explain Why They Should Not Be Indicted
Things are escalating quickly for the folks behind StraightPath Venture Partners.
Alleged Fraudster Who Managed To Evade The Cops For All Of Five Days Certainly Doesn’t Sound Like A Special Forces Veteran
And, now that you, the Justice Department and the SEC mention it, a lot of his stories sound a bit hard to believe.
Former CNBC Talking Head Suddenly Not Interested In Showing His Face
In fairness to James McDonald, television is a much more welcoming venue than an SEC hearing room or courthouse.
SEC Would Not Bold As To Just Outright Kill Payment For Order Flow
It’s just going to smother it with regulations.
Safest Investment In The World To Get Safer To Trade
Gary Gensler’s got some new unpleasant plans for his hedge fund nemeses.
If You’re Gonna Keep Customers Waiting To Make Your Projections Look Good, You’re Gonna Have To Let Investors Know It
Either that or you’d better project a fine for “potential SEC considerations about our considerations.”
Meet The Newest Member Of Morgan Stanley’s Block-Trading Desk
He or she’s got a law degree and seems unlikely to be a welcome presence.
SEC Churning Out Rules, Detailed Economic Analyses Thereof
Those opposed to said rules? Less so.
GameStop Chairman Offers Masterclass On Legal Pump-And-Dump
His Bed Bath & Beyond trading may “stink to high heaven,” but if he left no paper trail he’s probably in the clear.