Securities Docket

The Hub of Securities Enforcement. Covers SEC, criminal, global, and more.
Newsletter:

[Securities Docket @SecuritiesD]

Read the Daily Update from Securities Docket for June 3, 2026. https://t.co/onqJrPxtYY

[Securities Docket @SecuritiesD]

Read the Daily Update from Securities Docket for June 2, 2026. https://t.co/zM0HSclbNd

[Securities Docket @SecuritiesD]

Read the Daily Update from Securities Docket for May 29, 2026. https://t.co/ZnLgqCL66e

[Securities Docket @SecuritiesD]

Read the Daily Update from Securities Docket for May 28, 2026. https://t.co/RIGFVJD3sE

[Securities Docket @SecuritiesD]

"Cyber and Emerging Technologies: SEC/DOJ Rules and Guidelines, Enforcement, and "Job No. 1" (Crypto)"

Panelists:
Susan Resley, Partner, Morgan, Lewis & Bockius
Nathan Fisher, Managing Director, StoneTurn
Helen Gilbert, Chief, National Security & Special Prosecutions Section, U.S. Attorney’s Office for the Northern District of California, DOJ
Michael Loesch, Partner, Baker Botts
Amy Jane Longo, Partner, Ropes & Gray

Securities Enforcement Forum West 2026. May 21, 2026. The Palace Hotel.

https://t.co/P7BbqIXhWV

[Securities Docket @SecuritiesD]

"Financial Firms – SEC Enforcement and Exams Priorities, Retailization of Private Funds, & Credit Disclosure and Fraud Risk"

Panelists:
Kristin Snyder, Partner, Debevoise & Plimpton
Hardy Callcott, Partner, Sidley Austin
Michele Wein Layne, Of Counsel, O'Melveny & Myers
Lauren Lin, Chief Legal Officer, Wealthfront
Juan Migone, Partner, Resolution Economics

Securities Enforcement Forum West 2026. May 21, 2026. The Palace Hotel.

https://t.co/UbbBk6I2yz

[Securities Docket @SecuritiesD]

"A "New Day" at the SEC (400+ Days Later) – The Impact of Changes in Leadership and Priorities (and in the Enforcement Manual!)"

Panelists:
Sarah S. Mallett, Partner, Kirkland & Ellis
Lorraine Echavarria, Partner, WilmerHale
Michael J. Quinn, Shareholder, Vedder
Nicole Serfoss, Partner, Morrison Foerster
Justin Sutherland, Partner, AlixPartners

Securities Enforcement Forum West 2026. May 21, 2026. The Palace Hotel.

https://t.co/XhOhYqMHd0

[Securities Docket @SecuritiesD]

"The SEC and AI: Playing Offense (SEC’s Role and Task Force) and Defense (Representing Regulated Entities Navigating AI Rules)"

Panelists:
Tracy Combs, Partner, Greenberg Traurig, LLP
Robin Andrews, Partner, Pierson Ferdinand LLP
Christopher D. Frey, Partner, Latham & Watkins
Thomas Heck, Partner, KPMG
Christoffer Lee, Counsel, Pillsbury Winthrop Shaw Pittman LLP

Securities Enforcement Forum West 2026. May 21, 2026. The Palace Hotel.

https://t.co/uoLWJhmDpm

[Securities Docket @SecuritiesD]

"Financial Reporting and Accounting Fraud—A “Core” Enforcement Focus"

Panelists:
Kenneth Herzinger, Partner, Paul Hastings
Michael Dicke, Partner, Fenwick & West
Kathleen Marcus, Partner, Stradling Yocca Carlson & Rauth LLP
Craig Martin, Partner, Morrison Foerster
Eric Poer, CPA, Managing Director, Secretariat

Securities Enforcement Forum West 2026. May 21, 2026. The Palace Hotel.

https://t.co/qmXuKT6YtN

[Securities Docket @SecuritiesD]

"Keynote Q&A Discussion with Paul Grewal"

Panelists:
Peter Altman, Partner, Akin Gump Strauss Hauer & Feld LLP
Paul Grewal, Chief Legal Officer, Coinbase

Securities Enforcement Forum West 2026. May 21, 2026. The Palace Hotel.

https://t.co/UH2adBSwUK

[Securities Docket @SecuritiesD]

"Corporate Crisis Management: How to Handle a Major Internal Investigation and/or Whistleblower"

Panelists:
John Berry, Partner, Munger, Tolles & Olson
Antonia M. Apps, Partner, Paul, Weiss, Rifkind, Wharton & Garrison LLP
Megan Bouchier, Partner, FGS Global
Brett Kumm, Managing Director, Alvarez & Marsal
Ismail Ramsey, Partner, Law Office of Ismail Ramsey

Securities Enforcement Forum West 2026. May 21, 2026. The Palace Hotel.

https://t.co/VHkc0IfxtJ

[Securities Docket @SecuritiesD]

"Insider Trading 360° – Key Enforcement Trends and Cases, Digital Assets and Prediction Markets"

Panelists:
Martine Beamon, Partner, Davis Polk & Wardwell
Lloyd Farnham, Chief, Corporate and Securities Fraud Section, U.S. Attorney's Office for the Northern District of California
Teresa Goody Guillén, Partner, Bellementis PLLC
Fitzann (Fitz) Reid, General Counsel & CCO, Hunterbrook Media
Jason Spitalnick, Partner, Snell & Wilmer

Securities Enforcement Forum West 2026. May 21, 2026. The Palace Hotel.

https://t.co/pRYwj7AlHB

[Securities Docket @SecuritiesD]

"Securities Enforcement by States and Private Litigants – Filling the Void"

Panelists:
Caz Hashemi, Partner, Wilson Sonsini Goodrich & Rosati
Shannon Eagan, Partner, Cooley
Filipe Lacerda, Vice President, Cornerstone Research
Jamie Lang, Partner, King & Spalding
Robert Stern, Partner, Weil, Gotshal & Manges

Securities Enforcement Forum West 2026. May 21, 2026. The Palace Hotel.

https://t.co/OT5kIK6zaa

[Securities Docket @SecuritiesD]

"West Coast Enforcement: Defending Parallel Investigations Involving the SEC, USAO, Cal. DFPI, and Others"

Panelists:
Jina Choi, Partner, Gibson Dunn
Douglas M. Miller, Partner, Boies Schiller Flexner
Gregg Peat, Senior Managing Director, FTI Consulting
Claudia Quiroz, General Counsel, California Department of Financial Protection and Innovation
Doug Sprague, Partner, Covington & Burling LLP

Securities Enforcement Forum West 2026. May 21, 2026. The Palace Hotel.

https://t.co/uc004cQFEV

[Securities Docket @SecuritiesD]

Read the Daily Update from Securities Docket for May 27, 2026. https://t.co/VfXGlScwem

[Securities Docket @SecuritiesD]

https://t.co/b8onsPro60

[Securities Docket @SecuritiesD]

Read the Daily Update from Securities Docket for May 26, 2026. https://t.co/z5Ha94x6cE

[Securities Docket @SecuritiesD]

Read the Daily Update from Securities Docket for May 20, 2026. https://t.co/1MznbaAGOm

[Securities Docket @SecuritiesD]

Read the Daily Update from Securities Docket for May 19, 2026. https://t.co/RvuvZRkzyu

[Securities Docket @SecuritiesD]

Please join us on Thursday, May 21, at the Palace Hotel in San Francisco. https://t.co/ltQvcoU4OX