Few stories that begin with a government investigation have a happy ending. This is one of them, and the reason is the company’s decision to cooperate and remediate before charges were filed—a smart decision that started with the hiring of competent SEC defense counsel.  Recently, View, Inc. (“View”), a manufacturer of “smart” windows, came under SEC scrutiny for, among other

In a case that says as much about today’s work-from-home climate as it does about securities fraud, the SEC has charged Tyler Loudon of Houston, Texas for trading on confidential information he overheard while his wife, a mergers and acquisitions manager with London-based oil and gas company BP, PLC, was on a remote call. The SEC’s complaint alleges that Loudon

As a former SEC Trial Attorney, I was always particularly mindful of the trading rules imposed on SEC staff. While I always understood that the rules were intended to prevent conflicts of interest, misuse of nonpublic information for personal gain, and appearance problems—all important goals—the restrictions often stood in the way of profitable trades available to other market participants.  Well,

On June 6, 1944, the 82nd Airborne Division went to war, dropping infantrymen from the skies above France. On the sixth of June of ’23, the SEC waged its own version of war against the cryptocurrency industry. In perhaps its most aggressive move against the industry to date, the SEC filed an enforcement action against Coinbase for acting as unregistered

SEC Chair Gary Gensler testified before the House Financial Services Committee on Tuesday and was unexpectedly tight-lipped about whether XRP, a digital currency, is a security. In response to Committee Chairman Warren Davidson’s question, Gensler said that the question of whether XRP is a security is currently “in court, and [there are] active discussions and litigation on that matter.” For