Insights & News

Stradley Ronon Attorneys Present Investment Network’s Digital Assets Working Group Cryptocurrency Legal Roundup

June 13, 2019
Firm News

PHILADELPHIA – Stradley Ronon Attorneys Gregory D. DiMeglio, Ruth S. Epstein, Paula D. Shaffner, John M. Baker and Nicole M. Kalajian spoke at the Investment Network Digital Assets Working Group Cryptocurrency Legal Roundup on June 12 in Chicago. Epstein and Baker presented “Investment Company Act & Advisers Act Cryptocurrency Considerations,” Kalajian presented “CFTC Cryptocurrency Considerations,” and DiMeglio and Shaffner presented “Litigation & Enforcement Cryptocurrency Considerations.”

Epstein and Baker were contributing authors to the American Bar Association Business Law Section’s recent white paper titled “Digital and Digitized Assets: Federal and State Jurisdictional Issues.” Together they collaborated  on Section 4, “Federal Securities Regulation: Investment Company Act and Investment Advisers Act.” 

DiMeglio is chair of Stradley Ronon’s securities enforcement practice group. He represents public companies, investment companies, investment advisers, broker-dealers, boards of directors, board committees, auditors, other entities and individuals in connection with examinations, investigations and enforcement actions by the U.S. Securities and Exchange Commission (SEC), Department of Justice, other federal and state regulators, and industry self-regulatory organizations. He also conducts internal investigations designed to assist clients in preventing or limiting the scope of potential enforcement action.

Epstein has more than 30 years of corporate, securities and financial services experience, including five years with the Securities and Exchange Commission in the Division of Enforcement and the Office of General Counsel. She concentrates her practice on complex issues faced by participants in the investment management and variable insurance products industries and counsels financial services clients on a broad range of regulatory, governance, product development and enforcement issues.

Shaffner, co-chair of Stradley Ronon’s Securities Litigation & Enforcement practice group, represents individuals and companies in securities litigation, and defends clients in regulatory matters before the U.S. Securities and Exchange Commission (SEC), the Financial Industry Regulatory Agency (FINRA) and various exchanges and state regulators. She also represents clients in litigation filed in court or arbitration and conducts internal investigations and provides compliance counseling.

Baker focuses his practice on complex securities law and banking issues for mutual funds and their boards of directors/trustees, investment advisers, broker-dealers, banks, hedge funds and other participants in the financial markets. He is known throughout the mutual fund industry as the creator and moderator of FundLaw, a leading online discussion group that reports developments and changes in securities law, with an emphasis on legal issues impacting the investment management industry.

Kalajian represents securities and commodities professionals in a variety of complex regulatory, compliance and corporate matters. She has extensive experience launching and advising various investment vehicles, such as hedge funds, private equity funds, venture capital funds, real estate funds, commodity pools, fund of funds and socially responsible investment vehicles. Kalajian provides legal and compliance guidance to registered and exempt investment advisers, commodity pool operators, commodity trading advisers, futures commission merchants, introducing brokers, forex firms, proprietary trading firms and broker-dealers.

About Stradley Ronon
Counseling clients since 1926, Stradley Ronon has helped private and public companies – from small businesses to Fortune 500 corporations – achieve their goals by providing pragmatic, value-driven legal counsel. With offices in eight strategic locations, our responsive team of more than 200 attorneys seamlessly addresses the full spectrum of our clients’ needs, ranging from sophisticated corporate transactions to complex commercial litigation.

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