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Legal Cases

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 (Redacted Version). April 12, 2021. (Redactions Removed and Unsealed Version Released February 18, 2022.)
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 (Redacted Version) April 22, 2021. (Redactions Removed and Unsealed Version Released February 18, 2022.)
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.
Transcript of Hearing Before Judge Netburn on SEC’s Improper Use of MOUs to Foreign Regulators. April 30, 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 (Redacted Version). May 13, 2021. (Redactions Removed and Unsealed Versions Released February 18, 2022.)
SEC Memorandum of Law in Opposition to Garlinghouse and Larsen Motion to Dismiss. May 14, 2021. (Unsealed February 18, 2022.)
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.
Larsen Memorandum of Law Replying to SEC in Further Support of Motion to Dismiss. June 4, 2021. (Unsealed February 18, 2022.)
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.
Transcript of Hearing Before Judge Netburn on Motion to Quash Subpoena for Deposition of William Hinman. July 15, 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.]
Transcript of Hearing Before Judge Sarah Netburn on SEC Opposition to Motion to Compel Arguing Deliberative Process Privilege. August 31, 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 Response to Motion to Compel Interrogatory Responses. September 8, 2021.
Ripple and Larsen Letter Response to SEC Reply on Motion to Compel Interrogatory Responses. September 15, 2021.
Ripple Motion to Seal Excerpts of 2 Exhibits in Motion to Compel Interrogatory Responses. September 16, 2021.
Order from Judge Netburn Denying Defendants’ Motion to Compel SEC Preclearance Trading Documents & Certifications of SEC Employees’ XRP Holdings. September 21, 2021.
Letter Motion from Defendants Requesting In Camera Review of SEC Documents Submitted After Hearing. September 24, 2021.
Letter Motion by SEC Seeking Conference and Protective Order Against Defendants’ 29,947 Requests for Admission. September 29, 2021.
Letter Reply by Brad Garlinghouse and Chris Larsen to SEC Assertion of Privilege Over Discovery Documents, including “XRP Memo” of June 13, 2018. (Includes Summary Chart of Documents Submitted for In Camera Review.) September 30, 2021.
Order by Judge Analisa Torres Granting Amici Status to Movants. October 4, 2021.
Letter Response from Defendants in Opposition to SEC Request for Conference and Protective Order. October 7, 2021.
Memo Endorsement of Defendants’ Motion Requesting In Camera Review of Additional SEC Documents. October 7, 2021. (Entered October 8, 2021)
Response from Brad Garlinghouse and Chris Larsen to SEC’s Supplemental Authority in Opposition to Motion to Dismiss. October 12, 2021.
SEC Response to Defendants’ Response to SEC’s Motion Seeking Conference and Protective Order. October 12, 2021.
SEC Reply in Support of Order to Compel Ripple on Audio/Video Recordings. October 13, 2021.
SEC Response to Ripple’s Motion to Seal Transcripts of Audio/Video Recordings. October 14, 2021. [Ripple’s Motion was filed under seal on October 14, 2021.]
SEC Letter with Submission of Three Additional Documents for In Camera Review. October 15, 2021.
SEC Letter Requesting Extension of Expert Discovery and Exhibits. October 15, 2021.
Ripple Letter in Opposition to SEC Request for Extension of Expert Discovery. October 18, 2021.
Letter Motion from John E. Deaton to Judge Torres Requesting the Court Consider XRP Holders’ Perspective on SEC Request for Extension of Expert Discovery. October 19, 2021.
Order from Judge Sarah Netburn Denying XRP Holders’ Request to Submit Statement on SEC Request for Extension of Expert Discovery. (Text-Only Order) October 20, 2021.
Order from Judge Sarah Netburn Granting SEC Motion to Extend Expert Discovery to January 14, 2022. October 20, 2021.
Order from Judge Netburn on Defendants’ Motion to Compel on Interrogatories and SEC Request for Protective Order Against Defendants’ 29,947 RFAs. October 21, 2021.
Letter Motion from Ripple, Brad Garlinghouse and Chris Larsen to Seal Exhibits with Letter Reply to SEC’s Letter with Submission of Documents for In Camera Review. October 22, 2021.
Letter Reply and Request for Conference from Ripple, Brad Garlinghouse and Chris Larsen to SEC’s Letter with Submission of Documents for In Camera Review. October 22, 2021.
Order from Judge Sarah Netburn granting Defendant’s motion to seal. (Text-Only Order). October 28, 2021.
Order from Judge Sarah Netburn on Plaintiff’s motion to Compel Ripple recordings (Text-Only Order). November 8, 2021.
Order from Judge Sarah Netburn for Parties to Submit Supplemental Briefs on Motion to Compel. December 3, 2021.
Supplemental Brief on Motion to Compel from Defendants regarding Deliberative Process Privilege. December 8, 2021.
Supplemental Brief on Motion to Compel from SEC regarding Deliberative Process Privilege. December 8, 2021.
Joint Request from SEC and Defendants for Extension of Time for Expert Discovery. December 10, 2021.
SEC Letter of Supplemental Authority of Fife to Strike Fair Notice Defense. January 6, 2022.
Ripple Response to SEC Letter of Supplemental Authority Citing Fife. January 10, 2022.
Joint Letter to Judge Torres Requesting Extension of Expert Discovery. January 12, 2022.
Order from Judge Sarah Netburn Approving Joint Motion for Extension of Expert Discovery. January 13, 2022.
Opinion and Order from Judge Sarah Netburn Partially Granting Defendants’ Motion to Compel SEC to Produce Documents. January 13, 2022.
SEC Letter to Judge Sarah Netburn Asking for Reconsideration of Order Compelling Production of Drafts of Hinman Speech. January 21, 2022.
SEC Letter to Judge Analisa Torres Asking for Extension of Time to File Objections. January 21, 2022.
Defendants’ Response in Opposition to SEC Letter Asking for Reconsideration. January 24, 2022.
Order Granting in Part SEC Motion for Extension of Time to File Objections (Text-only Order). January 24, 2022.
SEC Letter of Supplemental Authority in Support of Pending Motion to Strike Ripple Fair Notice Defense. January 27, 2022.
Ripple Response to SEC Letter of Supplemental Authority in Support of Pending Motion to Strike Fair Notice Defense. January 27, 2022.
Order by Judge Torres Granting in Part, and Denying in Part, Defendants’ Motions to Seal Exhibits in Motion to Dismiss and Response to Motion to Strike Fair Notice Defense. February 3, 2022.
Ripple Sur-reply in Opposition to SEC’s Motion to Strike Fair Notice Defense. February 9, 2022.
Ripple Sur-reply, Exhibit A. February 9, 2022.
Garlinghouse Motion to Compel Estabrook Notes from SEC, with Exhibits. February 10, 2022.
SEC Motion for Extension in Response to Garlinghouse Motion to Compel Estabrook Notes. February 11, 2022.
Garlinghouse Response in Opposition to SEC Motion for Extension on Estabrook Notes. February 11, 2022.
Letter from Larsen Agreeing to Unsealing Both Legal Memos with No Redactions, and Larsen Email with One Redaction, in Exhibit. February 17, 2022.
SEC Motion for Partial Reconsideration of Ruling on DPP of Hinman Speech Emails and Meetings Notes. February 17, 2022.
Order by Judge Analisa Torres Unsealing Larsen Letter, 2012 Perkins Coie Legal Memos and Other Documents. February 18, 2022.
Unsealed Legal Memo from Perkins Coie Regarding NewCoin, Dated February 8, 2012. February 18, 2022.
Unsealed Legal Memo from Perkins Coie Regaring Ripple Network/OpenCoin, Dated October 19, 2012. February 18, 2022.
SEC’s Sur-Sur-Reply In Support of its Motion to Strike. February 22, 2022.
Ripple’s Response to SEC’s Sur-Sur-Reply In Support of its Motion to Strike. February 22, 2022.
SEC’s Response to Ripple’s Response to Sur-Sur-Reply. February 23, 2022.
SEC’s Motion in Opposition to Garlinghouse’s Request for Conference. February 24, 2022.
Defendants’ Letter Response in Opposition to SEC’s Motion for Partial Consideration on DPP on Hinman Speech, Emails and Meetings Notes. February 25, 2022.
Garlinghouse Response to SEC Opposition to Motion to Compel Discovery of Estabrook Notes on 2019 Roisman-Ripple Meeting. February 28, 2022.
Order by Judge Analisa Torres Denying SEC Motion to Strike Ripple’s Fair Notice Defense. March 11, 2022.
Order by Judge Analisa Torres Denying Motions by Garlinghouse and Larsen to Dismiss. March 11, 2022.
SEC’s Motion for a Two-Day Extension. March 14, 2022.
SEC’s Supplemental Letter to a Motion to Dismiss Internal SEC Documents as Irrelevant. March 14, 2022.
Ripple’s Request to Extend Deadline to SEC’s Claim of Irrelevant Documents. March 15, 2022.
SEC’s Opposition to Ripple’s Motion to Strike Metz’s Supplemental Report. March 18, 2022.
SEC’s Motion to Extend Discovery. March 21, 2022.
Ripple’s Response to SEC’s Supplemental Letter to Motion to Dismiss Documents. March 21, 2022.
Ripple’s Opposition to SEC’s Request for an Extension. March 21, 2022.
Order Granting SEC Motion to Extend Discovery. March 23, 2022.
Individual Defendants First Request for an Extension. March 23, 2022
SEC’s Request to Redact Portions of Private Notes. March 23, 2022.
Ripple’s Letter to Support Request for Conference. March 24, 2022.
Order Granting Individual Defendant’s Motion for an Extension. March 25, 2022.
Order Granting Motion for Extension of Time to Respond to SEC’s Motion to Redact Notes. March 28, 2022.
Individual Defendants’ Response to SEC Request to Redact. April 4, 2022.
Court Order for SEC to Produce Redacted Notes for Review. April 5, 2022.
SEC Submits Letter to Correct Date of Earlier Testimony. April 6, 2022.
Defendant Brad Garlinghouse’s Response to SEC’s First Amended Complaint. April 8, 2022.
Defendant Chris Larsen’s Response to SEC’s First Amended Complaint. April 8, 2022.
SEC Memo Regarding Redacted Notes. April 11, 2022.
DPP Reconsideration of Court’s Clarification Opinion – Reconsideration: Denied and Clarification: Granted. April 11, 2022.
SEC Informs Court of No Additional Discovery. April 15, 2022.
SEC Files Extension to Submit Objections. April 15, 2022.
Court Denies Garlinghouse’s Motion to Compel SEC to Produce Estabrook Notes. April 19, 2022.
Court Denies Ripple’s Motion to Strike SEC’s Late Testimony, but Approval Expert Discovery until May 13 for Ripple to Respond to Testimony. April 19, 2022.
SEC Request for Extension of the Deadline. April 19, 2022.
Joint Letter Requesting Briefing Schedule. April 22, 2022.
Order from Judge Analisa Torres Setting Briefing Schedule for Motions on Summary Judgment and Exclusion of Expert Testimony. April 28, 2022.
SEC Letter to Judge Netburn Re-Asserting Privilege Over Hinman Speech Documents. April 29, 2022.
Defendants’ Letter Requesting Extension to Respond to SEC’s Attorney-Client Privilege Claim. May 2, 2022.
Order Granting Defendants’ Request for Extension. May 3, 2022.
SEC Letter to Judge Netburn for Leave to File Reply. May 3, 2022.
Defendants’ Response in Opposition to SEC’s Request for Leave to File. May 3, 2022.
Order Granting SEC’s Request for Leave to File Reply. May 4, 2022.
Extension for Filing Attorney’s Fees. May 13, 2022.
Ripple’s Response to SEC Attorney Client Privilege Claim. May 13, 2022.
Letter Request from Ripple & Defendants for Approval to Exceed Page Limits on New Motion to Compel, and Briefing Schedule. May 17, 2022.
Order Granting Defendant’s Motion for Leave to File Excess Pages. May 18, 2022.
Defendant’s Motion to Compel the SEC Regarding the Deficient Responses to Ripple Defendants’ Fourth Set of Request for Admissions. May 18, 2022.
SEC’s Letter Reply Regarding Attorney-Client Claim Over SEC Documents. May 18, 2022.
Amici curiae Letter to Judge Analisa Torres from Seeking Leave to File Amicus Brief Regarding Opinions of SEC expert Patrick B. Doody, and Exhibits. May 21, 2022.
SEC Letter Requesting Five Day Extension to Reply to Amici Curiae Letter Seeking Leave to File Amicus Brief. May 24, 2022.
Order Scheduling Conference on SEC’s Attorney-Client Privilege Motion For June 7. May 31, 2022.
Order Establishing Phone Access for the Public to June 7 Conference. June 1, 2022.
SEC Letter Motion to Seal its Brief & Exhibits in Opposition to Motion for Leave to File Amicus Brief. June 7, 2022.
Transcript of Hearing Before Judge Netburn on SEC’s Attorney-Client Privilege Objection to Producing Hinman Documents. June 7, 2022.
Amici Letter to Judge Torres Requesting Procedural Clarification from the Court. June 8, 2022.
Defendants’ Response to the SEC’s Motion to Seal their Opposition to the Motion for Leave to File Amicus Brief. June 9, 2022.
Ruling from Judge Analisa Torres Ordering SEC to File Redacted Version of Opposition Brief and Exhibits to Amici Letter Requesting Leave. June 9, 2022.
Defendants’ Letter to Judge Torres Requesting Response to SEC’s Opposition to Amici Motion for Leave to File Amicus Brief Be Unsealed. June 10, 2022.
Text-Only Order Granting Ripple’s Interim Motion to Seal Portions of its Response to SEC . June 13, 2022.
Order for SEC to Submit Documents for In Camera Review. June 14, 2022.
SEC Letter on Proposed Redactions of their Sealed Brief in Opposition to Movants’ Motion. June 14, 2022.
Defendants’ Response to SEC’s Proposed Redactions to Opposition to Movants’ Motion. June 15, 2022.
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.
Court Orders SEC to File Redactions to Defendants’ Response by June 23. June 21, 2022.
SEC Letter Proposing Redactions to Response to Defendants on Movants’ Motion. June 23, 2022.
Defendants’ Response to SEC’s Proposed Redactions to their Own Letter Response. June 27, 2022.
Ripple Letter to Expedite Briefing Schedule on SEC’s Motion to Seal Expert Witness. July 10, 2022.
SEC Letter in Response to Ripple’s Motion for Expedited Briefing On Sealing Motions Regarding Expert Witness. July 11, 2022.
Order from Judge Torres Granting in Part and Denying in Part Motions to Seal/Redact Responses to Movants’ Request to Submit Amici Brief. July 11, 2022.
Order from Judge Analisa Torres Setting Expedited Briefing Schedule for Exclusion or Sealing of Expert Testimony. July 12, 2022.
Order from Judge Sarah Netburn Denying SEC’s Attorney-Client Privilege Claim Regarding Hinman Speech Emails and Documents, and Ordering Production. July 12, 2022.
Court Transcript of Conference Before Judge Netburn Held on 6/7/22. July 15, 2022
SEC Letter to Judge Torres Proposing Redactions to Exhibits on its Opposition to Amici Request to File Brief. July 15, 2022.
Defendants’ Letter to Judge Torres Proposing Redactions to One Exhibit with its Response to SEC’s Opposition to Amici Request to File Brief. July 15, 2022.
Court Orders Parties to Publicly File the SEC’s Letter. July 18, 2022
Defendants Letter in Response to SEC Letter to Exclude Court-Approved Amici and Exhibits. July 19, 2022.
SEC Letter Opposing Amici Motion to File Brief, and Exhibits. July 19, 2022.
Court’s Order Regarding RFAs (Request for Admission), Requiring SEC to Clarify or Amend Specific Responses. July 19, 2022.
SEC’S Request to File Excess Pages in Opposition to Orders Re: Hinman Speech. July 21, 2022.
Defendants’ Letter to the Judge to Set a Deadline. July 22, 2022.
Defendants’ Letter Response in Opposition to Motion. July 22, 2022.
Defendants’ Letter Motion to Redact Certain Exhibits to the Daubert Motions, July 22, 2022.
Court Order Granting in Part and Denying in part SEC Letter. July 22, 2022.
Order for all Non-Party Responses to Pending Motions to Seal Parties’ Motions. July 22, 2022.
Amici Reply to SEC’s Opposition to Leave for Filing Amici Brief on Daubert motion, with Exhibits. July 25, 2022.
Defendants’ Letter in Opposition to SEC’s Request to Seal All Identifying Information on Experts in Daubert Motions. July 25, 2022.
SEC’s Opposition to the Defendants’ Motion to Seal Regarding Expert Challenges. July 25, 2022.
Order from Judge Torres Reaffirming Amici Status, Denying Leave to Participate in Daubert Motions, and Inviting Amici to Apply to Brief on Concerns over SEC Expert at Summary Judgment. July 26, 2022.
SEC Brief on Objections to the Court’s Multiple Orders to Produce Hinman Documents. July 26, 2022.
Exhibits Accompanying SEC Brief on Objections to Orders to Produce Hinman Documents. July 26, 2022.
Court Order Granting Letter Motion for Leave to File. July 28, 2022.
Letter Motion to Seal Addressed to Judge Torres. July 28, 2022.
Third Parties’ Letter Motion to Seal Addressed to Judge Torres. July 28, 2022.
Defendants’ Motion for Leave to File to Serve Non-Party Subpoenas. August 3, 2022.
SEC’s Joint Letter Requesting a Briefing Schedule for Motions to Seal Expert Testimony. August 8, 2022.
SEC Response to the Defendants’ Motion to Obtain Certification of Videos. August 8, 2022.
Court Grants Motion to Approve SEC’s Request for Briefing Schedule. August 9, 2022.
Ripple Responds to SEC’s Objection to Submitting Internal Communications. August 9, 2022.
Ripple Files Declaration of Matthew Solomon’s Testimony. August 9, 2022.
Court Order Granting Letter Motion for Leave to Serve Two Non-Party Subpoenas. August 14, 2022.
SEC Reply Brief in Further Support of its Objection to the Court’s Multiple Orders to Produce Hinman Documents. August 16, 2022.
Defendant’s Letter Motion to Redact Certain Exhibits to the Daubert Responses. August 19, 2022.
SEC’s Letter Motion to Seal Portions of Filings Related to Expert Testimony. August 19, 2022.
Court Order Granting Motion for Leave to File. August 25, 2022.
Letter Response to Motion Addressed to Judge Analisa Torres. August 26, 2022.
Defendants’ Letter Response to Motion Addressed to Judge Torres. September 12, 2022.
SEC Notice of Summary Judgement Against All Defendants. September 17, 2022.
SEC Memo in Support of Summary Judgement. September 17, 2022.
Defendants’ Notice for Motion of Summary Judgement. September 17, 2022.
Defendants Motion for Summary Judgement. September 17, 2022.
SEC Motion Response to Motion to File Amicus Brief. September 19, 2022.
SEC’s Joint Letter to Judge Torres on Third Party Sealing Motions. September 19, 2022.
Defendants’ Response to Chamber of Digital Commerce’s Motion for Leave to File an Amicus Curiae. September 20, 2022.
Order by Judge Torres for SEC to Comply with Judge Netburn’s Order to Produce Hinman Emails. September 29, 2022.
Motion to File Amicus Brief By I-Remit. September 30, 2022.
Memorandum of Law in Support of Motion to File Amicus Brief. September 30, 2022.
Declaration of Brian Farkas in Support of Motion to File. September 30, 2022.
Letter Motion to File Amicus Brief – TapJets, Inc. September 30, 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
John E. Deaton Appeal for Clayton Official Calendar. November 23, 2021.
John E. Deaton Appeal for Hinman Official Calendar. November 23, 2021.
SEC Response to Deaton FOIA Request for Grundfest Letter. December 9, 2021.
The Grundfest Letter (Sent to Commissioners on December 17, 2020). Obtained by Deaton via FOIA. December 9, 2021.
SEC Appeal Response on Clayton, Hinman Official Calendars. December 22, 2021.
SEC Response to Deaton’s 12/20/2021 FOIA Request, with Production of Documents. June 14, 2022.

U.S. SEC v. LBRY, Inc.

U.S. District Court, District of New Hampshire, Case No. 1:21-cv-00260-PB

SEC Complaint Against LBRY. March 29, 2021.
LBRY’s Answer to the SEC Complaint. June, 7, 2021.
Motion for Summary Judgement. May 5, 2022.
Motion to Strike Plaintiff’s Statement of Undisputed Facts. May 10, 2022.
SEC’s Opposition to LBRY’S Motion for Summary Judgement. June 3, 2022.

Tetragon Financial Group Limited v. Ripple Labs Inc.,

U.S. District Court , District of Deleware (Wilmington), C.A. No. 2021-0007-MTZ

Summary Judgement. March 19, 2021.

U.S. SEC v. W.J. Howey Co.

U.S. Supreme Court. 328 U.S. 293 (1946).

Opinion of the Court, and Dissent. May 27, 1946.

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

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

U.S. v. Steven Nerayoff and Michael Hlady

U.S. District Court, Eastern District of New York (Criminal), CASE #: 1:20-cr-00008

Criminal Complaint and Affidavit of Support of Application for Arrest Warrants. September 17, 2019.
Criminal Indictment. Charges by Grand Jury. January 10, 2020.

Jarkesy v. SEC

Court Judgement Order Which Vacated Previous Court’s Decision. May 18, 2022.
Court Issued Opinion and Dissent. May 18, 2022.

Hermes v. Rothschild

Memorandum Order. May 18, 2022.

Regulatory Issues

President Biden’s Executive Order Regarding Crypto

Executive Order on Ensuring Responsible Development of Digital Assets. March 9, 2022.

In the Matter of BlockFi Lending LLC, Respondent. (SEC Administrative Proceeding, File No. 3-20758)

Rep McHenry Bipartisan Letter Urging Secretary Yellen to Clarify Digital Asset Reporting Requirements

Rep. Patrick McHenry Letter to Secretary Yellen. 1/26/22.

Money and Payments: The U.S. Dollar in the Age of Digital Transformation

Whitepaper on CBDCs by the Federal Reserve. 1/14/22.

SEC Commissioners Peirce and Roisman’s Statement on Chair Gensler’s Regulatory Agenda – Falling Further Back

Public Statement by Commissioners Peirce and Roisman. 12/13/21.

President’s Working Group on Financial Markets Report and Recommendations on Stablecoins

Report on Stablecoins. 11/1/21.

SEC Commissioner Hester Peirce’s speech, Lawless in Austin, at the Texas Blockchain Summit.

Public Statement by Commissioner Peirce. 10/8/21.

Rep. McHenry’s Letter to SEC Chair Gary Gensler requesting clarity after “a series of concerning and apparently self-contradicting public statements regarding crypto assets and other innovative technologies”.

Rep. Patrick McHenry Letter to SEC Chair Gensler. House Financial Services Committee (Ranking Member). 10/4/2021.

Sen. Toomey Letter to SEC Chair Gary Gensler pressing for regulatory clarity on cryptocurrencies, and an attached list of questions.

Sen. Toomey Letter to SEC Chair Gensler and Questions. Senate Banking Committee, Ranking Member’s Office. 9/24/2021.

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.

Legislation

Digital Commodity Exchange Act of 2022 – Create a definition for “digital commodity” and allow the CFTC to oversee companies issuing or letting people trade these types of tokens, while having the Securities and Exchange Commission (SEC) continue to oversee tokens that fall under U.S. securities laws.
Stablecoin Innovation and Protection Act of 2022 – To provide for the regulation of qualified stablecoin issuers, and for other purposes.
- Full text of the bill
- Statement by sponsor(s)
- Legislative status

America COMPETES Act – To require the Federal Trade Commission and the Secretary of Commerce to conduct studies and submit reports on the impact of artificial intelligence and other technologies on United States businesses conducting interstate commerce, and for other purposes.
- Full text of the bill
- Statement by sponsor(s)
- Legislative status

A Bill to amend the Federal Reserve Act – To prohibit the Federal reserve banks from offering certain products or services directly to an individual, and for other purposes.
- Full text of the bill
- Statement by Sponsor(s)
- Legislative status

Keep Innovation in America Act – A bipartisan solution to the Infrastructure and Jobs Act’s poorly constructed digital asset reporting requirements. Introduced November 18, 2021.
- Full text of the bill
- Statement by sponsor(s)
- Legislative status

Clarity for Digital Tokens Act of 2021 (H.R. 5496) – A bill to amend the Securities Act of 1933 to provide a safe harbor for transactions in certain tokens, and for other purposes. Introduced October 5, 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.

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.

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.

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.

U.S. Federal Personnel & Internal Documents

This tab includes U.S. government documents detailing internal communications or federal personnel information, either made available to the public through disclosure forms or obtained via requests submitted under the Freedom of Information Act (FOIA).

THE GENSLER FILES

SEC ETHICS LETTER: Gary Gensler
- Letter to SEC Ethics Office Detailing Process to Avoid Conflicts of Interest as Chairman, 1/29/21

SEC CHAIRMAN’S CALENDAR: Gary Gensler
FINANCIAL DISCLOSURES: Gary Gensler, SEC Chairman (2021-Present)
- 2020 Public Financial Disclosure Form OGE 278e
- 2021 Public Financial Disclosure Form OGE 278e

THE HINMAN FILES

THE HINMAN CALENDAR: (REDACTED) (Obtained by Stuart Young): William Hinman, SEC Director of Corporation Finance
- May 2017 – January 2021

FINANCIAL DISCLOSURES: William Hinman, SEC Director of Corporation Finance (2017-2020)

THE HINMAN SPEECH EMAILS (REDACTED) (Obtained by John E. Deaton via FOIA)
- 63 Internal SEC Emails on 2018 Hinman Speech (Redacted) and SEC Cover Letter (Received September 1, 2022).
THE HINMAN EMAILS (Obtained by Empower Oversight via FOIA)