Experience

• • Robinhood Crypto in an SEC investigation into the potential sale of unregistered securities on its platform that resulted in the SEC closing its investigation.
  • The head of Retail Capital Markets of a specialty finance company in an SEC investigation concerning sales of bonds to retail investors.
  • A global manufacturing company in SEC and DOJ investigations into potential corruption issues in Southeast Asia.
  • A large hedge fund in an SEC investigation related to DMM activity.
  • Ripple in a ruling against the SEC in the SDNY holding that Ripple’s digital token XRP is not a security or “investment contract” in many circumstances.
  • Toyota Motor Corp. in a resolution with the Department of Justice and Environmental Protection Agency regarding its emissions reporting practices, without any criminal charges being filed.