Articles Posted in Updates

Updated December 19, 2025 When a prospective client call us, they often tell us they don’t understand why they are being investigated because no customer complained and nobody lost any money. They believe once they show the SEC or FINRA or a state securities regulator that there is was no harm to any customer, the…

https://www.businessinsider.com/crypto-regulators-agencies-people-overseeing-digital-assets-bitcoin-blockchain-trump-2025-1 There has been a virtual 180 degree turnaround in crypto regulation in the last two weeks. In this article, Lisa Braganca comments on the new administration’s directive to agencies like the SEC to develop regulations that address the specific characteristics of digital coins. We may see digital coin securities being issued and traded in…

Expect changes in cryptocurrency regulations, ESG enforcement, and cybersecurity cases.

Rafael Nadal and Roger Federer are almost certainly among the top five or six male tennis players of all time. Federer retired from tennis in 2022, and Nadal just announced he will retire at the end of this year. At their peaks, they were undisputedly the top two players in the world. And while few…

SEC Made Numerous Material Misrepresentations to Utah District Court ***UPDATES BELOW – 3/19/24 and 6/4/24*** For a government agency with the talent and resources of the Securities and Exchange Commission, its ability to lose its focus and score an own goal is sometimes remarkable. At the same time the Supreme Court has power of administrative…

A federal jury in New York has found South Korean crypto magnate Do Kwon—and his company Terraform Labs—liable for defrauding investors who collectively sank billions of dollars into cryptoassets whose value later fell to near zero. Lisa Braganca was interviewed by Wired magazine regarding the likely implications for the crypto industry from this verdict.

Lisa Braganca interviewed about SBF trial on Coindesk TV, describing the overwhelming evidence presented at trial from insiders, but also the dangers of having a defendant freely making statements prior to trial.

What are Non-Compete Provisions? Non-compete provisions are contractual terms that prohibit an employee from working for a competitor of the current company. The purpose is to protect a company’s proprietary information – like customer lists or trade secrets – from being used by a competitor.  What Did the Federal Trade Commission Propose? On January 5,…

We aggressively protect our client’s rights, whether they’re businesses, investors, financial professionals, or whistleblowers. The tools of our trade are federal and state laws that regulate the securities industry and protect those who may be abused by it. Other laws or legal doctrines may also apply to participants in the securities industry. They include state…

What should we make of the SEC bringing settled charges against Kim Kardashian for violating the antitouting provisions of the federal securities laws? In the first place, it is not surprising that the SEC brought these charges or that Kardashian settled. Almost immediately after Kardashian made her June 13, 2021 Instagram post about cryptocurrency Emax,…