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    • ENFORCEMENT—U.S.: Cert petition asks Court to resolve post-Jarkesy split on issue exhaustion
    • AI NEWS—SEC to host roundtable on machine-understandable data
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    • DIRECTORS AND OFFICERS—S.D.N.Y.: Court rejects Axsome derivative contribution claim
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    • ENFORCEMENT—S.D.N.Y.: Investment advisers denied bail, stay of financial penalties pending appeal
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    • FRAUD AND MANIPULATION—S.D.N.Y.: Final judgment entered in EminiFX commodity pool Ponzi litigation, CFTC announces
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    • FRAUD AND MANIPULATION—S.D.N.Y.: Majority of TD Bank’s alleged misstatements about AML program are actionable
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    Securities Regulation Daily Wrap Up, ENFORCEMENT—S.D.N.Y.: Investment advisers denied bail, stay of financial penalties pending appeal, (Oct 20, 2026)

    Organizations Mentioned:StraightPath Venture Partners, LLC

    By Mark S. Nelson, J.D.

    Despite ruling against the defendants, the court extended their time to surrender from October to December 2026 to facilitate further appeal.

    Three persons convicted of securities fraud, investment adviser fraud, and, in two instances, convicted of ob ...

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