U.S. SEC v. Ripple Labs, et al

   U.S. District Court, Southern District of New York, CASE #: 1:20-cv-10832

• Summary of Ripple’s Wells Submission. December 2020
• SEC complaint against Ripple Labs, et al.  December 22, 2020.
• Ripple Labs FOIA Request for SEC Records RE: ETH Determination and PRC Crypto Control. January 25, 2021
• Ripple Labs Answer to SEC’s Complaint.  January 29, 2021.
• Proposed Civil Case Management Plan and Scheduling Order and Joint Submission.  February 15, 2021.
• Amended Complaint. February 18, 2021.
• Letter to Judge Analisa Torres regarding Anticipated Motion to Dismiss on behalf of Defendant Brad Garlinghouse. March 3, 2021
• Letter to Judge Analisa Torres regarding Anticipated Motion to Dismiss on behalf of Defendant Chris Larsen. March 3, 2021
• Ripple Labs Answer to SEC’s Amended Complaint. March 4, 2021.
• SEC Response to Defendant’s (Ripple) Anticipated Motion to Dismiss Letter.  March 9, 2021
• Letter to Judge Analisa Torres on behalf of Defendants Garlinghouse and Larsen requesting a conference regarding SEC Requests for Production of personal financial information. March 11, 2021.
• Memorandum of Law in Support of Motion to Intervene (Deaton). March 14, 2021
• Motion to Intervene (Deaton). March 14, 2021
• Letter to Judge Analisa Torres Explaining the Motion to Intervene (Deaton). March 14, 2021
• Letter to Judge Sarah Netburn on SEC Refusal to Comply with Discovery Requests by Defendants (Ripple). March 15, 2021.
• SEC letter to Judge Sarah Netburn in opposition to Ripple Motion on Discovery Requests (Document #72). March 17, 2021
• Transcript of Hearing before Judge Sarah Netburn on SEC Discovery Requests Targeting Defendants’ Personal Information. March 19, 2021.
• Pre-motion Letter to Judge Analisa Torres on Proposed Intervenors Arguments (Deaton). March 19, 2021
• Order from Judge Analisa Torres Granting Deaton’s Motion to Appear Pro Hac Vice.  March 19, 2021
• SEC letter to Judge Sarah Netburn in opposition to Ripple Motion to Compel SEC to Produce Discovery. March 22, 2021.
• Order by Judge Sarah Netburn to schedule hearing on Ripple Motion to Compel SEC to Produce Discovery. March 24, 2021.
• Ripple Reply Letter to SEC’s Response Motion on Producing Discovery. March 24, 2021.
• SEC Response to XRP Investors’ Motion to Intervene.  March 26, 2021
• Defendants (Ripple) Response to XRP Investors’ Motion to Intervene.  March 26, 2021
• Order by Judge Analisa Torres granting XRP Investors’ Request to Submit Motion to Intervene, with timetable for related submissions. March 29, 2021.
• Transcript of Hearing before Judge Sarah Netburn on Ripple Discovery of Internal SEC Communications and Documents. April 6, 2021
• Order by Judge Sarah Netburn granting Motion by Defendants to Reject SEC Discover of Personal Financial Information. April 9, 2021.
• Memorandum of Law in Support of Garlinghouse Motion to Dismiss. April 12, 2021.
• Memorandum of Law in Support of Larsen Motion to Dismiss. April 12, 2021.
• Letter to Judge Netburn on Behalf of Garlinghouse and Larsen on SEC’s Improper Use of MOUs to Foreign Regulators. April 16, 2021.
• Memorandum of Law in Support of Motion to Intervene. April 19, 2021.
• Request for Oral Arguments by Proposed Intervenors. April 19, 2021.
• Declaration of John E. Deaton in Support of Motion to Intervene. April 19, 2021.
• Proposed Intervenor-Defendant’s Answer to SEC’s First Amended Complaint. April 19, 2021.
• Letter Motion by SEC to Judge Sarah Netburn Requesting Order to Bar Ripple from Accessing Key Discovery Materials. April 21, 2021.
• SEC Memorandum of Law in Support of Motion to Strike Ripple’s Fair Notice Defense. April 22, 2021.
• SEC Letter to Judge Netburn Opposing Letter Motion from Garlinghouse and Larsen on Improper Use of MOUs to Foreign Regulators. April 23, 2021.
• Letter to Judge Netburn from Ripple Opposing SEC Letter Motion on Discovery. April 28, 2021.
• Supplemental Letter to Judge Netburn from Ripple on SEC’s Improper Use of MOUs to Foreign Regulators. April 29, 2021.
• Ripple, Garlinghouse and Larsen Response to Deaton and XRP Holders’ Motion to Intervene. May 3, 2021.
• SEC Memorandum of Law in Opposition to Deaton and XRP Holders’ Motion to Intervene. May 3, 2021.
• Order from Judge Netburn Granting, in Part, Ripple Letter Motion for Discovery. May 6, 2021.
• Letter Motion by SEC to Judge Netburn re: Documents Filed Under Seal. May 7, 2021.
• Exhibit D to Letter Motion by SEC to Judge Netburn with Ripple Answers and Objections (Doc. 165-4). May 7, 2021.
• Memorandum of Law from Ripple in Opposition to SEC Motion to Strike Fair Notice Defense. May 13, 2021.
• XRP Holders Memorandum of Law in reply to the SEC’s Opposition to  the Motion to Intervene. May 17, 2021.
• SEC Opposition to Ripple’s Response to Motion to Intervene by XRP Holders. May 17, 2021.
• Order from Judge Netburn Denying Motion by Defendants on SEC Use of Foreign MOUs. May 19, 2021.
• SEC Letter Motion to Judge Netburn Responding to Ripple’s Opposition to SEC Discovery Motion on Legal Advice Given to Defendants. May 19, 2021.
• Transcript of Hearing Before Judge Sarah Netburn on Discovery of Legal Memos to Ripple. May 21, 2021.
• SEC Memorandum of Law in Reply to Ripple’s Opposition to SEC Motion to Strike Fair Notice Defense. May 27, 2021.
• SEC Exhibit 1 (“The Cornerstone Report”). May 27, 2021.
• Order from Judge Netburn Denying SEC Motion to Compel Ripple to Produce All Legal Advice. May 30, 2021.
• SEC Letter Motion to Judge Torres Requesting 60 Day Extension of Time for Completing Discovery. June 2, 2021.
• Letter Motion for International Discovery from Defendants Garlinghouse and Larsen (Document 213). June 2, 2021.
• Letter Motion from Defendants to Judge Netburn Requesting Discovery Conference. June 4, 2021.
• Proposed Sur-reply by Ripple to SEC Memorandum of Law in Reply to Ripple’s Opposition to Motion to Strike. June 7, 2021.
• Letter Reply from SEC on Ripple’s Sur-reply. June 9, 2021.
• Memorandum of Law in Support of Garlinghouse and Larsen Motion for Issuing of Letters to Request International Judicial Assistance. June 11, 2021.
• Letter Motion for International Discovery from Defendants Garlinghouse and Larsen (Document 240). June 11, 2021.
• SEC Letter to Judge Netburn Seeking to Quash Deposition Subpoena Issued to William Hinman by Defendants. June 24, 2021.
• SEC Letter to Quash: Exhibit B- Declaration of William Hinman in Support of SEC Motion to Quash Deposition Subpoena. June 24, 2021.
• Defendants Response in Opposition to SEC’s Motion to Quash Deposition Subpoena for William Hinman. July 1, 2021.
• SEC Letter to Judge Netburn Further Supporting Motion to Quash Deposition Subpoena Issued to William Hinman by Defendants. July 8, 2021.
• Joint Letter from Defendants and SEC to Judge Netburn on “progress made” on scope of Hinman deposition, with additional report anticipated on July 19, 2021. July 16, 2021.
• Supplemental Authority Letter to Judge Analisa Torres from Defendants Garlinghouse and Larsen on Recent Statement by Commissioners Peirce and Roisman on SEC lack of clarity on which digital assets are securities. July 19, 2021.
• Joint Letter from Defendants and SEC to Judge Netburn informing on reaching understanding on the scope of Hinman deposition. July 19, 2021.
• Supplemental Authority Letter to Judge Analisa Torres from Ripple on Recent Statement by Commissioners Peirce and Roisman. July 20, 2021.
• SEC Response Letter to Judge Analisa Torres on Defendants Letter Regarding Recent Statement by Commissioners Peirce and Roisman. July 21, 2021.
• Defendants Response to SEC Response Letter on Recent Statement by Commissioners Peirce and Roisman. July 23, 2021.
• Memorandum of Law in Support of Motion by Brad Garlinghouse on Issuance of Letter of Request for International Discovery Assistance Related to Documents from Binance Holding Ltd (Grand Cayman). August 2, 2021.
• SEC Emergency Letter Motion to Judge Netburn Requesting Discovery Conference on Ripple internal employee communications. August 9, 2021.
• Letter from Defendants to Judge Netburn Requesting a Conference to Discuss Deliberative Process Privilege. August 10, 2021.
• Ripple Response to SEC Letter Motion re: Further Discovery of Slack Messages. August 16, 2021.
• SEC Response to Ripple’s Letter Motion to Compel Production of Discovery Materials. August 17, 2021.
• Exhibit B to SEC Response to Motion to Compel: Limited Excerpts of Hinman Deposition with Redactions. August 17, 2021.
• SEC Motion to Seal Portions of Hinman Deposition and Privilege Logs. August 17, 2021.
• Defendants’ Letter Response to SEC Opposition to Motion to Compel. August 23, 2021.
• Defendants’ Letter Motion to Compel SEC Preclearance Trading Documents & Certifications of SEC employees’ XRP holdings, and Exhibits. August 27, 2021.
• Chris Larsen Letter Motion to Compel SEC Interrogatory Responses, and Exhibits. August 31, 2021.
• Motion for Lilya Tessler to Appear Pro Hac Vice for amicus curiae Chamber of Digital Commerce. August 31, 2021. [Denied and Stricken from docket pending proper Motion for Leave. September 1, 2021.]
• SEC Response to Defendants’ Motion to Compel SEC Preclearance Trading Documents on Digital Assets. September 3, 2021.
• Ripple’s Response to SEC Motion to Compel Production of Recordings of Meetings. September 7, 2021.
• SEC Letter Submitting Documents for In Camera Review by Judge Netburn, and Exhibits. September 14, 2021.
• SEC Letter in Opposition to Defendants’ Motion to Seal Exhibit O of SEC’s Opposition Brief to XRP Holders’ Request to File Amicus Brief. June 17, 2022.

John Deaton, et al v. Elad Roisman as Acting SEC Chairman, SEC

   U.S. District Court , District of Rhode Island (Providence), CASE #: 1:21-cv-00001-WES-PAS

• Petition for Writ of Mandamus.  January 1, 2021.
• John E. Deaton FOIA Request to SEC (re: Clayton, Grundfest, Brooks) – January 19, 2021
• SEC FOIA Acknowledgment Letter –  January 21, 2021
• John E. Deaton FOIA Request to SEC (re: public warning) – February 5, 2021
• SEC FOIA Acknowledgment Letter –  February 9, 2021
• John E. Deaton FOIA Request to SEC (re: MoneyGram) –  March 5, 2021
• Respondents’ Motion to Dismiss. March 5, 2021.
• SEC FOIA Acknowledgment Letter. March 8, 2021

U.S. SEC v. Telegram Group Inc. & Ton Issuer Inc.

U.S. District Court, Southern District of New York, CASE #: 1:19-cv-09439

• Opinion & Order by U.S. District Court Judge P. Kevin Castel re: Plaintiff’s (SEC’s) Motion for a Preliminary Injunction. March 24, 2020
• Opinion & Order by U.S. District Court Judge P. Kevin Castel re: Defendant’s (Telegram’s) Opposition to the Preliminary Injunction. April 1, 2020

SEC Commissioner Hester Peirce’s statement in the matter of Poloniex, LLC.

• Public Statement by Commissioner Peirce. 8/9/2021.

SEC Chairman Gary Gensler’s letter to Sen. Warren asking for jurisdiction of all exchanges of digital assets.

• Letter from SEC Chair Gary Gensler to Sen. Warren. Office of SEC Chair Gary Gensler. 8/5/2021.

Sen. Warren Letter to Secretary Yellen on the need to mitigate the growing risks that cryptocurrencies pose to the financial system.

• Sen. Warren Letter to Secretary Yellen. Office of Sen. Elizabeth Warren. 7/26/2021.

Sen. Warren Letter to SEC Chair Gary Gensler asking about the risks posed by cryptocurrency exchanges.

• Sen. Warren Letter to SEC Chair Gary Gensler. Office of Sen. Elizabeth Warren. 7/8/2021.

SEC Commissioners Hester Peirce and Elad Roisman statement in the matter of Coinschedule

• Public Statement by Commissioners Peirce and Roisman. U.S. Securities and Exchange Commission. July 14, 2021.

Senate Confirmation of Gary Gensler as Chairman of the U.S. Securities & Exchange Commission

• Written Testimony by Gary Gensler. Senate Committee on Banking, Housing and Urban Development. March 2, 2021.
• Nomination Hearing for Gary Gensler to be Chair of the U.S. Securities and Exchange Commission. Senate Committee on Banking, Housing and Urban Development. March 2, 2021. (VIDEO)

Safe Harbor Proposal (2021) from Commissioner Hester Peirce

• Proposed Securities Act Rule 195. Time-limited exemption for Tokens. April 13, 2021.
• Token Safe Harbor Proposal 2.0. Public Statement by Commissioner Hester Peirce. U.S. Securities and Exchange Commission. April 13, 2021.

• Digital Asset Market Structure and Investor Protection Act (H.R. 4741 ) – A bill to to provide for the regulation of digital assets, and for other purposes. Introduced July 28, 2021.
  • Full text of the bill
  • Statement by sponsor(s)
  • Legislative status

• Securities Clarity Act (H.R. 4451) – A bill to amend the securities law to exclude investment contract assets from the definition of a security. Introduced July 16, 2021.
  • Full text of the bill
  • Statement by sponsors(s)
  • Legislative status

• Eliminate Barriers to Innovation Act (H.R. 1602) – A bill to direct the Commodity Futures Trading Commission and the Securities and Exchange Commission to jointly establish a digital asset working group, and for other purposes. Introduced March 9, 2021. Passed the U.S. House of Representatives on April 20, 2021.
  • Full text of the bill
  • Statement by sponsor(s)
  • Legislative status

• Token Taxonomy Act (H.R. 1628) – A bill to amend the Securities Act of 1933 and the Securities Exchange Act of 1934 to exclude digital tokens from the definition of a security, to direct the Securities and Exchange Commission to enact certain regulatory changes regarding digital units secured through public key cryptography, to adjust taxation of virtual currencies held in individual retirement accounts, to create a tax exemption for exchanges of one virtual currency for another, to create a de minimis exemption from taxation for gains realized from the sale or exchange of virtual currency for other than cash, and for other purposes. Introduced March 8, 2021.
  • Full text of the bill
  • Statement by the sponsor(s)
  • Legislative status

• William Hinman, SEC Director of Corporations Finance (2017-2020)
  • 2017 Public Financial Disclosure Form OGE 278e
  • 2018 Public Financial Disclosure Form OGE 278e
  • 2019 Public Financial Disclosure Form OGE 278e
  • 2020 Public Financial Disclosure Form OGE 278e