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Why ATB Coin’s Legal Encounter Sets Precedent in New York for Future Securities Violations

Published 04/22/2019, 03:55 AM
Updated 04/22/2019, 04:02 AM
Why ATB Coin’s Legal Encounter Sets Precedent in New York for Future Securities Violations

If there’s anything to take away from this federal class-action suit, it’s that this new opinion on ATB Coin provides further guidance on when a token might be considered a security under securities law in the United States.

For those with a legal background, this piece is set up in a similar way to a case brief you probably remember from law school. But even without a legal background, here’s some guidelines on how to read this.

  • Going down the legal rabbit hole

  • Pursuant to §12(a), Defendants offered and sold unregistered securities in the form of ATB coins, and
  • Pursuant to §15(a), ATB’s co-founders, Edward Ng and Herbert W. Hoover III, as “control persons” of ATB.
  • Lack of personal jurisdiction (Federal Rule Civ. Procedure, 12[b][2]), and
  • Failure to state a claim, on the theory that ATB coins were not “securities” based on the pleadings, pursuant to 12(b)(6) of the Federal Rules of Civil Procedure.
  • Was there an investment of money?
  • Was there a common enterprise?
  • Was there an expectation of profits predominantly from the efforts of others?
  • Legalese aside, what you need to know

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