- Business Litigation
- Class Action
- Delaware Court of Chancery Litigation
- Digital Assets + Blockchain
- False Claims Act + Other Whistleblower Actions
- Financial Services
- Foreign Corrupt Practices Act (FCPA)
- Investment Funds + Investment Management Services
- Litigation + Trial
- Real Estate Capital Markets (REITs)
- Securities Investigations + Enforcement
- Securities Litigation
- Tribal Lending
- White Collar Litigation + Investigations
- Vice chair, Business and Corporate Litigation Committee, American Bar Association’s Business Law Section
- Vice chair, Criminal and Enforcement Litigation Subcommittee, American Bar Association’s Business Law Section
- Member, Board of Editors, The Investment Lawyer
- Member, Corporate Leadership Board, The Barnes Foundation
Education
- University of Pennsylvania Carey Law School, J.D., 1984
- University of Pennsylvania The Wharton School, B.S., magna cum laude, 1981, finance and accounting
Bar Admissions
- District of Columbia
- Pennsylvania
Court Admissions
- U.S. District Court, Eastern District of Pennsylvania
- U.S. District Court, Middle District of Pennsylvania
- U.S. District Court, District of North Dakota
- U.S. Court of Appeals, Second Circuit
- U.S. Court of Appeals, Third Circuit
- U.S. Court of Appeals, Fourth Circuit
- U.S. Court of Appeals, Ninth Circuit
- Speaker, “Review of Derivative Suits and Demands on Boards of Directors: What Is Demand Futility?,” American Bar Association’s webinar, June 24, 2025.
- Speaker, “Understanding the SEC’s Whistleblower Program: Protections, Enforcement, and Drafting Compliant Agreements,” mylawCLE, March 13, 2025.
- Speaker, “Recent Securities Decisions and Trends to Watch,” March 20, 2024.
- Moderator, “Federal Securities Law Forum: What You Need to Know Now!” Philadelphia Bar Association, Securities Litigation Committee, December 7, 2023.
- Speaker, Federal Securities Law Forum 2022 Transactional, Litigation, and Regulatory Perspectives, July 15, 2022.
- Panelist, “Thinking Ahead,” AFBA 2022 Alternative Finance Bar Association Conference, June 15, 2022.
- Panelist, “Treatment of D&O Policies in Bankruptcy Cases,” 38th Annual Bankruptcy & Restructuring Conference, June 10, 2022.
- Panelist, “Corporate Governance in the Crosshairs,” Philadelphia Bar Association, April 25, 2022.
- Speaker, “Securities Class Action Litigation Review: Ninth Circuit Opens Floodgates for Direct Listing Investors to Assert Section 11 Claim,” Celesq Webinar, February 23, 2022.
- Panelist, “Giants of the Business Bar,” Philadelphia Bar Association, October 26, 2021.
- Speaker, “Challenging the SEC in Federal Court: Recent Developments in Case Law and Practice Notes,” West LegalEdcenter CLE Webcast, October 13, 2021.
- Panelist, “Treatment of D&O Policies in Bankruptcy Cases: Recent Trends,” ABA’s Business Law Section Virtual Annual Meeting, September 22, 2021.
- Co-chair, “Securities Enforcement & Litigation Forum,” Pennsylvania Bar Institute Webcast, August 3, 2021.
- Speaker, “The SEC’s Whistleblower Program in 2021 and Beyond,” Celesq Webinar, February 24, 2021.
- Moderator, “Protections Available for Directors, Officers and Managers of Corporations and LLCs,” American Bar Association, January 28, 2021.
- Panelist, “Enforcement Developments for Private Funds and Investment Management — What’s Happening Now?,” Troutman Pepper, January 26, 2021.
- Panelist, “Challenging the SEC in Federal Court: Recent Developments in Case Law and Practice,” Challenging the SEC in Federal Court: Recent Developments in Case Law and Practice Notes, January 14, 2021.
- Speaker, “Recent Decisions Impacting Class Certification Motions in Securities Litigation,” Celesq Attorneys Ed Center and West LegalEd Center, December 9, 2020.
- Co-chair, “Current Developments in Securities Litigation and Enforcement,” Philadelphia Bar Association Securities Regulations Committee of the Business Law Section, November 11, 2020.
- Moderator, “Cannabis and CBD Issues,” American Bar Association 17th Annual Washington Health Law Summit, December 9-10, 2019.
- Speaker, “Investment Management and Private Funds: What’s Happening Now?,” Investment Management Roundtable, November 26, 2019.
- Speaker, “When Good Deals Go Bad: Ethical Issues Raised by Failed Transactions” and Course Planner and Moderator, “Navigating the Conflicting Federal and State Laws for Doing Business With Cannabis Companies,” American Bar Association Business Law Section Annual Meeting, September 12–14, 2019.
- Course Planner and Speaker, PBI Federal Securities Law Forum 2019, February 8, 2019.
- Co-author, “SEC Launches Initiative to Tackle International Fraud and Protect U.S. Investors,” Financial Services Blog, September 9, 2025.
- Co-author, “Evaluating the SEC’s Rising Whistleblower Denial Rate,” Law360, September 5, 2025.
- Co-author, “SEC and CFTC Staff Issue Joint Statement on Digital Asset Commodity Transactions,” Financial Services Blog, September 5, 2025.
- Co-author, “Navigating Confidential Witness Allegations in Securities Litigation,” The Legal Intelligencer, August 26, 2025.
- Co-author, “SEC Charges TZP Management Associates With Breaching Fiduciary Duty by Overcharging Management Fees to Private Funds,” Troutman Pepper Locke, August 22, 2025.
- Co-author, “SEC Launches AI Task Force,” Troutman Pepper Locke, August 6, 2025.
- Co-author, “SEC Whistleblower Awards Face Scrutiny as Denials Rise,” Troutman Pepper Locke, July 24, 2025.
- Co-author, “Judicial Scrutiny Intensifies: The Evolving Role of Short-Seller Reports in Securities Claims,” Business Law Today, July 2025.
- Co-author, “Conviction in Insider Trading Case Brings New Attention to 10b5-1 Plans,” Troutman Pepper Locke, June 27, 2025.
- Co-author, “Trump Administration’s FCPA Investigations and Enforcement Guidelines,” Troutman Pepper Locke, June 16, 2025.
- Co-author, “Recent SEC AML Enforcement Actions’ Impact on Compliance Efforts in the Cannabis Sector,” Troutman Pepper Locke, June 11, 2025.
- Co-author, “Supreme Court Denies Certiorari in SEC Disgorgement Case,” Troutman Pepper Locke, June 11, 2025.
- Co-author, “Navigating Change: First 100 Days Under the Trump Administration,” 2025 Digital Asset Developments, May 28, 2025.
- Co-author, “Coinbase Seeks Third Circuit Review of Federal Court’s Traceability Ruling,” The Legal Intelligencer, May 27, 2025.
- Co-author, “SEC Briefs Disgorgement and Investor Harm in Navellier v. SEC,” Troutman Pepper Locke, May 16, 2025.
- Co-author, “First Circuit Questions Materiality in SEC’s Case Against Commonwealth Equity Services,” Troutman Pepper Locke, April 16, 2025.
- Co-author, “SEC Reportedly Announces Major Reorganization of Enforcement and Exams Division,” Troutman Pepper Locke, April 7, 2025.
- Co-author, “4 Actions for Cos. as SEC Rebrands Cyber Enforcement Units,” Law360, March 21, 2025.
- Co-author, “District Judge Orders Return of Mootness Fees in Akorn Shareholder Lawsuits and Hints at Further Sanctions,” Troutman Pepper Locke, March 20, 2025.
- Co-author, “SEC Reportedly Plans to Cut Regional Directors as Cost-Saving Measure,” Troutman Pepper Locke, February 27, 2025.
- Co-author, “The SEC’s New Cryptocurrency Task Force: A Step Toward Regulatory Clarity,” The Legal Intelligencer, February 25, 2025.
- Co-author, “US v. Brown: District of Columbia Circuit Rules on Compelled Biometric Unlocking of Cellphones,” Troutman Pepper Locke, January 29, 2025.
- Co-author, “Evolution of Administrative Adjudication Post-Jarkesy,” The Investment Lawyer, December 2024.
- Co-author, “SEC 2024 Enforcement Results: A Decline in Total Enforcement, but a Record-Breaking Recovery of Financial Remedies,” Troutman Pepper, December 5, 2024.
- Co-author, “The Increase in Artificial Intelligence-Related Securities Class Actions,” The Legal Intelligencer, November 26, 2024.
- Co-author, “The SEC’s Division of Examinations Announces 2025 Priorities,” Troutman Pepper, October 31, 2024.
- Co-author, “Prioritize Document Review for SEC Whistleblower Rule Compliance,” Troutman Pepper, September 23, 2024.
- Co-author, “6 Considerations to Determine if a Cyber Incident Is Material,” Law360, August 28, 2024.
- Co-author, “High Stakes in High Court: Supreme Court to Clarify Securities Fraud Pleading Requirements for Falsity and Scienter,” The Legal Intelligencer, August 27, 2024.
- Co-author, “SolarWinds Ruling Offers Cyber Incident Response Takeaways,” Law360, August 6, 2024.
- Co-author, “Supreme Court Limits SEC’s In-House Adjudication,” Troutman Pepper, July 3, 2024.
- Co-author, “FINRA’s Crackdown on Firms’ Use of Social Media Influencers Continues,” Troutman Pepper, July 2, 2024.
- Co-author, “SEC Charges Investment Advisor for Misleading Disclosures About Its Work With Short Publishers,” Troutman Pepper, June 28, 2024.
- Co-author, “US Supreme Court to Hear Nvidia Crypto Mining Case on Securities Pleading Standard,” Troutman Pepper, June 18, 2024.
- Co-author, “‘No Better Than a Racket’—Seventh Circuit Critical of Mootness Fees for Merger Disclosures,” The Legal Intelligencer, May 28, 2024.
- Co-author, “Influencer Considerations As FINRA Initiates Crackdown,” Law360, May 22, 2024.
- Co-author, “US Supreme Court Limits Scope of Omission Liability for Section 10(b) Securities Fraud Claims,” Troutman Pepper, April 16, 2024.
- Co-author, “FINRA’s First Disciplinary Action Targeting Firm’s Use of Social Media Influencers,” Troutman Pepper, April 16, 2024.
- Co-author, “Oracle Ruling Underscores Trend of Mootness Fee Denials,” Law360, April 15, 2024.
- Co-author, “The SEC Voluntarily Stays Climate-Related Disclosure Rules Pending Eighth Circuit Judicial Review,” Troutman Pepper, April 10, 2024.
- Co-author, “AI in Finance: Balancing Innovation and Regulatory Compliance,” Alternatives Watch, March 21, 2024.
- Co-author, “2023 Year-In-Review: Key Enforcement Initiatives and Cases in Crypto, Cyber, SPACs, Whistleblowers, and the Future of Administrative Law Proceedings,” Troutman Pepper, February 28, 2024.
- Co-author, “SEC Continues to Regulate Cryptocurrency Through Record High Enforcement Efforts,” The Legal Intelligencer, February 26, 2024.
- Co-author, “11th Circuit Rules Against SEC Penny-Stock Ban,” Troutman Pepper, February 23, 2024.
- Co-author, “How to Avoid a Similar Fate? SEC Charges Firms With Record-Keeping Violations for Off-Channel Communications,” Troutman Pepper, February 14, 2024.
- Co-author, “SEC Investigations and Enforcement: Responding to a Request for Information and Documents,” LexisNexis Practical Guidance, January 17, 2024.
- Co-author, “Opt-Outs in Securities Class Action Settlements Are Creating Issues for Litigants,” The Legal Intelligencer, November 27, 2023.
- Co-author, “SEC Releases Fiscal Year 2023 Enforcement Results,” Troutman Pepper, November 27, 2023.
- Co-author, “SCOTUS to Hear Dispute Over SEC Disclosure Rules,” Troutman Pepper, October 4, 2023.
- Co-author, “SEC Charges Privately Held Monolith Resources for Violating Whistleblower Protection Rules,” Troutman Pepper, September 15, 2023.
- Co-author, “SEC Provides Parameters on the Risk-Based Approach for Selecting Registered Investment Advisers for Examination,” Troutman Pepper, September 8, 2023.
- Co-author, “Continued Challenges Arising From SPAC-Related Litigation,” Delaware Business Court Insider and The Legal Intelligencer, August 28, 2023.
- Co-author, “Exercise Caution Before Stating a Lawsuit is “Without Merit”,” Troutman Pepper, August 15, 2023.
- Co-author, “SEC v. Ripple Labs, Inc.: XRP Considered an Unregistered Security in Institutional Sales but Not in Programmatic Sales or Other Distributions,” Troutman Pepper, July 14, 2023.
- Co-author, “Supreme Court Review May Prove the Death Knell to SEC Administrative Courts,” Troutman Pepper, July 5, 2023.
- Co-author, “Unanimous Supreme Court Sharply Limits Liability under Section 11 for Companies Issuing Securities Through Direct Listings,” Troutman Pepper, June 9, 2023.
- Co-author, “Constitutional Attacks Mount Against Federal Agency Proceedings in Wake of High Court Decision,” The Legal Intelligencer, May 26, 2023.
- Co-author, “SEC Issues Risk Alert on Safeguarding Customer Records and Information at Branch Offices,” Troutman Pepper, May 5, 2023.
- Co-author, “Proposed SEC Rule Would Place Cryptocurrency Trading Platforms Under SEC Jurisdiction,” Troutman Pepper, May 4, 2023.
- Co-author, “Unanimous Supreme Court Decision Allows for Early Challenges to Federal Agency Enforcement Actions,” Troutman Pepper, April 20, 2023.
- Co-author, “Encrypted Electronic Instant Messaging Applications Continue to Catch the Government’s Attention,” Troutman Pepper, April 7, 2023.
- Co-author, “Navigating Securities Litigation in 2023: Trends for the New Year,” The Legal Intelligencer, February 23, 2023.
- Co-author, “SEC ‘Levels Up’ in $235M Resolution of Alleged Whistleblower Protection Violations and Compliance Program Failures Against Activision Blizzard,” Troutman Pepper, February 7, 2023.
- Co-author, “Federal Judge Refuses to Dismiss Tobacco and Cannabis Company’s Class-Action SEC Disclosure Suit Based on 10b-5(b) Scienter and Loss Causation Requirements,” Troutman Pepper, February 6, 2023.
- Co-author, “SEC Adopts Final Rule Amendments for Rule 10b5-1 Trading Plans and Creates New Disclosure Requirements,” Troutman Pepper, January 4, 2023.
- Co-author, “SEC Targets SPAC Conflicts of Interest,” The Investment Lawyer, Vol. 29 No. 12, December 2022.
- Co-author, “Prosecutors and Regulators Announce Criminal Charges and Civil Enforcement Actions Against Sam Bankman-Fried Following FTX Collapse,” Troutman Pepper, December 16, 2022.
- Co-author, “SEC’s Division of Corporation Finance Revises CD&Is on Non-GAAP Financial Measures,” Troutman Pepper, December 16, 2022.
- Co-author, “SEC Advises Companies to Disclose Crypto Market Exposure,” Troutman Pepper, December 13, 2022.
- Co-author, “SEC’s Enforcement Results for FY 2022 Reflect Robust Enforcement and Record-Breaking Penalties,” Troutman Pepper, November 22, 2022.
- Co-author, “SEC Scores Victory in Ongoing Effort to Classify Cryptocurrencies as Securities,” Troutman Pepper, November 17, 2022.
- Co-author, “Full Scale of Constitutionality of SEC’s Adjudication System Underway,” Pensions & Investments, November 4, 2022.
- Co-author, “SEC Modernizes Its Recordkeeping Requirements for Certain Registrants,” Troutman Pepper, November 2, 2022.
- Co-author, “SEC Reiterates Auditor Responsibilities in Risk Assessment,” Troutman Pepper, October 27, 2022.
- Co-author, “SEC Digs in on Loss Contingency Disclosure Requirements,” Troutman Pepper, October 12, 2022.
- Co-author, “SEC Reaffirms 10b5-1 Plans Provide No Protection if Plans Not Established in Good Faith,” Troutman Pepper, October 3, 2022.
- Co-author, “SEC Targets SPAC Conflicts of Interest,” Troutman Pepper, September 23, 2022.
- Co-author, “It’s Not “Business as Usual” for DOJ’s Corporate Criminal Enforcement Efforts,” Troutman Pepper, September 20, 2022.
- Co-author, “Plea Deal in First-Ever Cryptocurrency Insider Trading Case,” Troutman Pepper, September 16, 2022.
- Co-author, “SEC Boosts Whistleblower Incentives After Two Record-Breaking Years,” Troutman Pepper, August 31, 2022.
- Co-author, “Cyber Breaches Pose Risk of SEC Enforcement Actions, Derivative Suits to Public Companies,” The Legal Intelligencer, August 29, 2022.
- Co-author, “SEC Cracks Down on Encrypted Messaging,” Troutman Pepper, August 2, 2022.
- Co-author, “Confidential Witnesses in Securities Litigation: Handle With Care,” The Legal Intelligencer, May 27, 2022.
- Co-author, “Recent Decisions Cast Shadow Over SEC’s In-House Adjudication System,” Troutman Pepper, May 25, 2022.
- Co-author, “SEC Expands Crypto Assets and Cyber Unit,” Troutman Pepper, May 20, 2022.
- Co-author, “SEC Proposed Form PF Amendments Kick Off SEC Chair Gensler’s Push for Increased Transparency for Private Funds,” The Investment Lawyer, May 2022.
- Co-author, “Recent SEC Complaint Signals Increased Enforcement Risk for Companies on ESG Disclosures,” Troutman Pepper, May 10, 2022.
- Co-author, “Not Your Keys, Not Your Coin: SEC Tells Crypto-Custody Providers to Report Platform Users’ Crypto Holdings as Balance Sheet Liabilities,” Troutman Pepper, April 25, 2022.
- Co-author, “SEC’s New Insider “Shadow Trading” Theory Survives Its First Test,” INSIGHTS: The Corporate & Securities Law Advisor, April 2022.
- Co-author, “World’s Largest Cryptocurrency Exchange Wins Dismissal of Class-Action Lawsuit,” Troutman Pepper, April 19, 2022.
- Co-author, “Circuit Decision Provides SEC Roadmap to Seek Disgorgement Post-Liu,” INSIGHTS: The Corporate & Securities Law Advisor, March 2022.
- Co-author, “Firms Seeking Mootness Fees for Supplemental Disclosures Suffer Another Blow,” Troutman Pepper, March 24, 2022.
- Co-author, “FinCEN Implores Vigilance From Financial Institutions in Anticipation of Attempted Russia Sanctions Evasion,” Troutman Pepper, March 16, 2022.
- Co-author, “Biden Signs Executive Order on Cryptocurrency,” Troutman Pepper, March 10, 2022.
- Co-author, “SEC Governing Crypto Through Enforcement Actions While Rulemaking Is on the Horizon,” The Legal Intelligencer, February 24, 2022.
- Co-author, “FINRA Report Highlights New Topics and Emerging Risks for 2022,” Troutman Pepper, February 17, 2022.
- Co-author, “SEC Settlement Shows Commission’s Willingness to Waive Penalties for Investigatory Targets Focusing on Corrective Action,” Troutman Pepper, February 4, 2022.
- Co-author, “SEC’s New Insider “Shadow Trading” Theory Survives Its First Test,” Troutman Pepper, February 1, 2022.
- Co-author, “SEC’s New Enforcement Priorities Likely to Affect Settlement Requirements, Crowdfunding Regulation,” The Investment Lawyer, January 2022.
- Co-author, “SEC Proposed Form PF Amendments Kick Off SEC Chair Gensler’s Push for Increased Transparency for Private Funds,” Troutman Pepper, January 26, 2022.
- Co-author, “Second Circuit Affirms De Maison Disgorgement Amount as Reasonable,” Troutman Pepper, January 4, 2022.
- Co-author, “Securities and Exchange Commission Tests New Insider Trading Theory,” The Investment Lawyer, December 2021.
- Co-author, “Divided Ninth Circ. Opens Floodgates for Direct Listing Investors to Assert Section 11 Claim,” The Legal Intelligencer, November 29, 2021.
- Co-author, “SDNY Backs SEC Whistleblower Protections, Clarifying Their Scope,” Troutman Pepper, November 24, 2021.
- Co-author, “SEC Investment Adviser Examinations Highlight Errors,” Troutman Pepper, November 18, 2021.
- Co-author, “SEC Outlines Division of Examinations Priorities at Annual “SEC Speaks” Forum,” Troutman Pepper, October 29, 2021.
- Co-author, “Circuit Decision Provides SEC Roadmap to Seek Disgorgement Post-Liu,” Troutman Pepper, October 26, 2021.
- Co-author, “New York Doubles Down on Regulatory Scrutiny of Crypto Lending Firms,” Troutman Pepper, October 22, 2021.
- Co-author, “SEC Signals Shift Away From “Neither Admit Nor Deny” Approach to Settling Enforcement Actions,” Troutman Pepper, October 21, 2021.
- Co-author, “SEC Focused on Enforcement in the Crowdfunding Space,” Troutman Pepper, October 18, 2021.
- Co-author, “Delaware Court of Chancery Highlights Seriousness of Cybersecurity Concerns While Maintaining High Standard for Caremark Claims,” Troutman Pepper, October 12, 2021.
- Co-author, “Supreme Court to Decide Whether Automatic Stay of Discovery Applies in State Court Securities Litigation,” Legal Intelligencer, August 2021.
- Co-author, “Securities & Exchange Commission Tests New Insider Trading Theory,” Troutman Pepper, August 26, 2021.
- Co-author, “New FINRA Guidance Suggests Increased Scrutiny of Member Firms’ Relationships with Third-Party Vendors,” Troutman Pepper, August 19, 2021.
- Co-author, “Gensler Speaks on Crypto at Aspen Security Forum,” Troutman Pepper, August 5, 2021.
- Co-author, “SEC Division of Examinations Issues Risk Alerts on Cross Trades and Wrap Fee Programs,” Troutman Pepper, August 3, 2021.
- Co-author, “Gurbir Grewal Named as New Director of SEC Enforcement Division,” Troutman Pepper, July 2021.
- Co-author, “SEC Increases Data Analytics Focus to Identify Securities Law Violations,” INSIGHTS: The Corporate & Securities Law Advisor, July 2021.
- Co-author, “Companies Should Exercise Caution When Addressing Anonymous Whistleblower Complaints,” Troutman Pepper, July 13, 2021.
- Co-author, “Recent Developments in Auditing Could Create Tensions, Leading to More Regulatory Actions,” Troutman Pepper, July 2, 2021.
- Co-author, “SEC Cases Offer Insight into Its Approach to Alleged COVID-19 Securities Fraud,” Troutman Pepper, June 29, 2021.
- Co-author, “Gensler’s SEC Agenda: Commitment to ESG and Increased Disclosures,” Troutman Pepper, June 25, 2021.
- Co-author, “SolarWinds Cyberattack Generates Recent Widespread SEC Enforcement Requests,” Troutman Pepper, June 23, 2021.
- Co-author, “SEC Commentary Highlights Increased Focus on Data Analytics in Identifying Potential Securities Law Violations,” Troutman Pepper, June 14, 2021.
- Co-author, “It’s Official: Circuits are Split on Domestic Transaction Test,” Troutman Pepper, June 9, 2021.
- Co-author, “Zoom Securities Ruling Limits Plaintiffs to One Bounce,” The Legal Intelligencer, May 28, 2021.
- Co-author, “FDA Remains Vigilant Against CBD-Related Health Claims,” Troutman Pepper, April 6, 2021.
- Co-author, “SEC Has Its Eye on SPACs,” Troutman Pepper, April 6, 2021.
- Co-author, “The Long and Short of It,” Private Equity International’s The Legal Special 2021, April 2021.
- Co-author, “Credit Union’s Marijuana-Related Compliance Failure Is a Warning to Lenders,” Troutman Pepper, March 19, 2021.
- Co-author, “Record-Breaking Year for CFTC Enforcement Division Shows Continued Growth of Enforcement Program and No Slowing Down in FY 2021,” Troutman Pepper, March 16, 2021.
- Co-author, “DOJ’s Robust 2020 Pandemic Response Signals Increasing Focus on COVID-19-Related Fraud in 2021,” Troutman Pepper, March 10, 2021.
- Co-author, “SEC Creates Climate and ESG Enforcement Task Force,” Troutman Pepper, March 8, 2021.
- Co-author, “Division of Examinations Issues Risk Alert on Digital Asset Securities,” Troutman Pepper, March 8, 2021.
- Co-author, “FINRA Publishes New Annual Report on FINRA’s Examination and Risk Monitoring Program,” Troutman Pepper, March 3, 2021.
- Co-author, “SEC Settles Compliance Rule Violations With ICE Subsidiary,” JD Supra, March 1, 2021.
- Co-author, “Third Circ.: Bad Business Decisions, Without More, Do Not Constitute Federal Securities Fraud,” The Legal Intelligencer, February 25, 2021.
- Co-author, “Return of More Subpoena Power to SEC’s Division of Enforcement,” Troutman Pepper, February 23, 2021.
- Co-author, “Raising Capital During Periods of Extreme Price Volatility,” Troutman Pepper, February 9, 2021.
- Co-author, “USDA Issues Final Rules For Hemp Cultivation and Production Under the 2018 Farm Bill,” Troutman Pepper, January 21, 2021.
- Co-author, “Congress Passes Law Expanding the SEC’s Ability to Seek Disgorgement,” Troutman Pepper, January 4, 2021.
- Co-author, “SEC Expands Scope of COVID-19-Related Enforcement Actions with Penalty Against Cheesecake Factory for Misleading Investors,” Troutman Pepper, December 11, 2020.
- Co-author, “After Nearly a Decade, SEC Amends Whistleblower Rules,” The Legal Intelligencer, December 1, 2020.
- Co-author, “Ex-Informant Ruling Guides on Challenging SEC Enforcement,” Law360, November 18, 2020.
- Co-author, “Highlights: SEC Division of Enforcement 2020 Annual Report,” Troutman Pepper, November 18, 2020.
- Co-author, “SEC Enforcement Case Offers Important Lessons about Internal Controls and Stock Buybacks,” Troutman Pepper, December 5, 2020.
- Co-author, “Gov’t Informant Ruling Will Limit Recourse for SEC Targets,” Law360, October 7, 2020.
- Co-author, “7th Circ. Provides Guidance on Deciding Motions for Class Certification in Securities Litigation,” The Legal Intelligencer, September 1, 2020.
- Co-author, “Oh, What a Relief Liu Is: Liu v. SEC and Relief Defendant Disgorgement,” Business Law Today, August 7, 2020.
- Co-author, “Supreme Court Scales Back SEC’s Disgorgement Remedy,” Client Alert, June 25, 2020.
- Co-author, “SEC and DOJ Antitrust Division to Increase Collaboration on Rulemaking and Investigations,” Client Alert, June 24, 2020.
- Co-author, “Cannabis Law: An Update on Recent Developments Related to the Cannabis Industry,” Recent Developments in Business and Corporate Litigation, 2020 Edition.
- Co-author, “SEC Provides Accommodations in Response to Pandemic but Also Remains Vigilant,” The Legal Intelligencer, May 28, 2020.
- Co-author, “CFTC Issues Civil Monetary Penalties Guidance for the First Time in More Than 25 Years,” Client Alert, May 26, 2020.
- Co-author, “Insider Trading in the Time of COVID-19: Risks and Best Practices,” INSIGHTS: The Corporate & Securities Law Advisor, May 2020.
- Co-author, “Protecting Your Company From COVID-19 Insider Trading,” Client Alert, April 6, 2020.
- Co-author, “Report Provides Guidance on How Companies Should Address Cyber Risks,” The Legal Intelligencer, February 27, 2020.
- Quoted, “SEC’s ‘Unconventional’ Top Cop to Keep Agency in Check: Consultants,” FundFire, August 25, 2025.
- Quoted, “SEC Chair Atkins Shakes Up Pre-Enforcement Action Process,” FundFire, July 14, 2025.
- Quoted, “Will SEC Examiner Departures Mean Less Retail Alts Scrutiny?,” FundFire, May 15, 2025.
- Quoted, “Senate Confirms Trump Pick Atkins to Lead a Leaner SEC,” Law360, April 9, 2025.
- Quoted, “Uyeda Pledges to Bring ‘Normalcy’ to SEC,” FundFire, February 25, 2025.
- Quoted, “Trump Nominee for SEC Chair May Slow Rulemaking, Enforcement,” FundFire, December 20, 2024.
- Quoted, “A Paul Atkins-Led SEC Will Be More Industry Friendly, Accommodating to Crypto, Experts Say,” Pensions & Investments, December 6, 2024.
- Quoted, “Trump Picks Crypto-Friendly Former Commish to Chair SEC,” FundFire, December 5, 2024.
- Quoted, “Trump Picks SEC Alum to Chair Regulator,” PlanAdviser, December 4, 2024.
- Quoted, “Gensler’s Chapter Leading SEC Approaches Close,” FundFire, November 22, 2024.
- Quoted, “SEC Chair Gensler to Step Down When Trump Takes Office,” Law360, November 21, 2024.
- Quoted, “High Court’s Regulatory Rulings Unsettle Coverage Risks,” Law360, July 3, 2024.
- Quoted, “SCOTUS Weighs Disclosure Standard for Material Omissions,” Private Funds CFO, January 17, 2024.
- Quoted, “SEC’s Use of In-House Judges Expected to Be Shot Down by Supreme Court,” Pensions & Investments, December 7, 2023.
- Quoted, “IPO Flops Could Spur a Rise in Stock-Drop Litigation,” Law360, October 27, 2023.
- Quoted, “High Court to Review Disclosure Omissions Case,” Pensions & Investments, October 23, 2023.
- Quoted, “SEC’s Risk Alert Worth Close Look Amid ‘Bevy’ of New Rules, Charges” Planadviser, September 15, 2023.
- Featured, “Case Review — Axon Enterprise, Inc. v. Federal Trade Commission,” Business Law Today, August 21, 2023.
- Quoted, “SEC Faces Murky Future on In-House Enforcement Cases,” Pensions & Investments, July 13, 2023.
- Quoted, “Supreme Court Decision Could See SEC Facing Logjams in Enforcement Cases,” Pensions & Investments, May 2, 2023.
- Quoted, “SEC Kicks Enforcement Into Overdrive in 2022,” Pensions & Investments, November 28, 2022.
- Quoted, “Supreme Court Hears Arguments on Allowing Challenges to SEC’s In-House Judges,” Pensions & Investments, November 4, 2022.
- Quoted, “Keeping a Record: Managers Must Archive Communications to Avoid SEC Fines,” FIN News, November 2, 2022.
- Quoted, “Loss Contingencies: Recent Enforcement Action Shows Need for Good Faith Assessment,” TheCorporateCounsel.net, October 21, 2022.
- Quoted, “New Whistleblower Incentives Could Boost SEC Enforcement, Expert Says,” Alternatives Watch, September 27, 2022.
- Quoted, “Wide-Ranging Solarwinds Probe Sparks Fear in Corporate America,” Reuters, September 10, 2021.
- Quoted, “Anonymous Complaints Sound Similar; Now What?,” CFO & Controller Alert, August 11, 2021.
- Quoted, “SEC SolarWinds Cyber Probe Puts Companies on Notice,” Business Insurance, June 29, 2021.
- Quoted, “Companies Scramble to Meet SEC’s SolarWinds Info Deadline,” Law360, June 25, 2021.
- Quoted, “Cannabis Law Is Changing, and Big Law Is Taking Over the Space,” The Legal Intelligencer, May 20, 2021.
- Quoted, “Defense Bill Empowers SEC in Seeking Return of Profits From Fraud,” Compliance Week, January 5, 2021.
- Quoted, “How Will SEC Complaint Affect Banks’ Relationships With Ripple?,” American Banker, December 29, 2020.
- Quoted, “Musk Caps a Strange Week by Suggesting Tesla’s Stock Price Should Fall. So It Did,” Los Angeles Times, May 2, 2020.
- Quoted, “Was Elon’s Tesla Twitter Meltdown Illegal? An Investigation,” The Verge, May 1, 2020.
- Quoted, “Musk’s Leaked Email Shows Tesla to Make Record Deliveries in Second Quarter,” Reuters, May 23, 2019.
- Quoted, “Tesla CEO Elon Musk Will Get a Stricter Twitter Babysitter,” Wired, April 26, 2019.
- Quoted, “Legal Experts: Musk Conduct Unlikely to Bring Harsh Penalty, Associated Press, February 26, 2019.