Bruce Carton

Bruce Carton is the President of Docket Media LLC, the editor of Securities Docket, and the founder of the Securities Enforcement Forum. He is also a featured columnist for Compliance Week on securities enforcement and litigation issues and the author of Compliance Week’s “Enforcement Action” blog.

Carton is a former Senior Counsel with the SEC’s Division of Enforcement, where he investigated and brought cases for violations of the federal securities laws. He was subsequently a securities litigation and SEC enforcement partner with one of the world’s largest law firms (now known as DLA Piper), and later a Vice President at Institutional Shareholder Services.

Carton is a regular speaker, commentator and moderator on securities litigation and regulatory issues and has appeared as a guest on business television shows including FOX Business News. He has also been quoted in publications such as Time Magazine, The Wall Street Journal, The New York Times, The Washington Post, Bloomberg, Financial Times, Fortune,  and Institutional Investor magazine. From 2009-2013, Carton was the co-author of Law.com’s popular “Legal Blog Watch” column. In 2009, Carton served as an Adjunct Professor of Legal Writing at George Mason University School of Law.

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25 responses to “Bruce Carton”

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  13. [...] runs it: Securities Docket (SD) is edited by Bruce Carton who is also the author of the SD Insider Column. Bruce is a former Senior Counsel with the SEC’s [...]

  14. [...] titled “Web 2.0: Leveraging New Media in a Securities/Compliance Practice.” The presenters were Bruce Carton, editor of Securities Docket, and Doug Cornelius, Chief Compliance Officer at a private equity firm [...]

  15. [...] Docket editor Bruce Carton was a guest last night on “NoQuarter Radio’s Sense on Cents with Larry Doyle.”  An [...]

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  18. [...] Week Columnist; President, Docket Media LLC; Founder and Editor, Securities Docket, the ubiquitous Bruce Carton [...]

  19. [...] Other participants who address the same questions as to their area of expertise include Compliance Week editor Matt Kelly, Francine McKenna (re: The Auditors), Francis Pileggi (Delaware corporate law guru), Kevin LaCroix (The D&O Diary), Tracy Coenen (The Fraud Files), Lyle Roberts (The 10b-5 Daily) and Securities Docket’s Bruce Carton. [...]

  20. [...] By Bruce Carton [...]

  21. [...] By Bruce Carton At a recent Compliance Week event, a chief compliance officer observed that in her public company, the compliance department and the legal department disagree on the importance of implementing a strong insider-trading compliance program. The compliance department has struggled in its efforts to get a strong program in place because the company’s legal department is not very supportive, she said. Meanwhile, the legal department isn’t interested in devoting much time or money into such a program and seems content to let employees who are foolish enough to engage in insider trading hang by their own rope. The legal department’s focus, she reports, is on avoiding corporate exposure in any insider-trading flare-up, and seems to assume that should an insider-trading investigation occur, the corporation may be better served by having no program at all rather than having one that failed to prevent insider trading. [...]

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