Joshua M. Newville

Joshua M. Newville is a partner in the Litigation Department in New York and a member of Proskauer's White Collar Defense & Investigations Group and the Asset Management Litigation team.

Josh handles securities litigation, enforcement and regulatory matters, representing corporations and senior executives in civil and criminal investigations. In addition, Josh advises registered investment advisers and private fund managers on regulatory compliance, SEC exams and related risks.

Firm/Organization: Proskauer Rose LLP

Blogs: Blockchain and the Law, Corporate Defense and Disputes, Minding Your Business, New Media and Technology Law Blog, The Capital Commitment

Latest Articles

The Capital Commitment

SEC Extends Registration Requirements for Investment Companies and Broker Dealers to ICOs and other Digital Assets

By Joshua M. Newville, Samuel J. Waldon, Robert E. Plaze & Lucy Wolf on September 25, 2018

Fund managers take note – after over a year of warning, this month the SEC announced a pair of settlement orders with respect to registration requirements for a fund and broker dealer operating in the crypto and digital assets space. It was the agency’s first ever enforcement actions applying the investment company and broker-dealer registration provisions of the securities laws to businesses involved in digital securities. As we’ve written on Proskauer’s Blockchain and the …

Blockchain and the Law

Crypto Crackdown – SEC Imposes Broker-Dealer and Investment Company Registration Provisions on Token Traders and a Crypto Fund

By Joshua M. Newville, Robert E. Plaze & Lucy Wolf on September 17, 2018

The SEC announced a pair of settled orders on Tuesday extending additional provisions of the securities laws over ICOs and other digital assets – the agency’s first ever enforcement actions of their kind. As the SEC has been suggesting for over a year, because digital assets offered and sold in initial coin offerings (“ICOs”) are likely to fall under the definition of securities, businesses that invest in them, or that offer, sell or trade…

The Capital Commitment

Mt. Gox Debacle Showcases Cryptocurrency Litigation Concerns

By Joshua M. Newville & Brian Hooven on September 6, 2018

The theft of millions of bitcoins and related failure of cryptocurrency exchange Mt. Gox—recently written about in the Wall Street Journal—provides a perfect example of how cryptocurrency-related issues can blossom into one of our Top Ten Regulatory and Litigation Risks. The WSJ article chronicles the journey of Kim Nilsson—one of the victims of the $400 million bitcoin theft from Mt. Gox in 2014—as he investigates and eventually uncovers the identity of the…

The Capital Commitment

SEC Enforcement Co-Director Gives Guidance for Wells Process, Part 2

By Samuel J. Waldon, Joshua M. Newville & Brian Hooven on June 20, 2018

On June 4, we posted a summary of SEC Enforcement Co-Director Steven Peikin observations during his recent keynote address at the New York City Bar Association’s 7th Annual White Collar Crime Institute. Co-Director Peikin imparted a few suggested “do’s and don’ts” for effective communication with the SEC during the Wells process. Although Co-Director Peikin’s suggestions should serve as helpful guides to defense counsel, we believe a few of the observations bear further consideration. Read …

Corporate Defense and Disputes

SEC Enforcement Co-Director Gives Guidance for Wells Process, Part 2

By Samuel J. Waldon, Joshua M. Newville & Brian Hooven on June 20, 2018

The Capital Commitment

SEC Enforcement Co-Director Gives Guidance for Wells Process

By Samuel J. Waldon, Joshua M. Newville & Brian Hooven on June 5, 2018

During his recent keynote address at the New York City Bar Association’s 7th Annual White Collar Crime Institute, SEC Enforcement Co-Director Steven Peikin imparted a few suggested “do’s and don’ts” for effective communication with the SEC during the Wells process—typically the last opportunity to address potential charges prior to the authorization of a SEC enforcement proceeding. Read our full summary of his observations on our Corporate Defense and Disputes blog.…

Corporate Defense and Disputes

SEC Enforcement Co-Director Gives Guidance for Wells Process

By Samuel J. Waldon, Joshua M. Newville & Brian Hooven on June 4, 2018

The Capital Commitment

Unicorns: The Tale Continues

By Joshua M. Newville, William Dalsen & Alexandra V. Bargoot on May 3, 2018

Potential disputes involving unicorns have been a hot topic for the last several years. We predicted that would continue this year in in our webinar and related blog post: The Top Ten Regulatory and Litigation Risks for Private Funds in 2018. In April, the Regional Director of the SEC’s San Francisco office, Jina Choi, confirmed this in her comments during a San Francisco Federal Bar Association panel. Specifically, Ms. Choi discussed the SEC’s…

Blockchain and the Law

Regulatory Scrutiny of the ICO Market – What Fund Managers Should Know

By Joshua M. Newville, Anthony Drenzek & Brian Hooven on April 30, 2018

Last week, former CFTC Chairman Gary Gensler explained in remarks at M.I.T. that he believes the second and third most widely used virtual currencies—Ether and Ripple—may have been issued and traded in violation of securities regulations. This comes on the heels of a crackdown on cryptocurrency-related securities by the SEC, which is particularly focused on initial coin offerings (ICOs). For fund managers, we believe the increased regulatory pressure will be felt in some expected, and…

The Capital Commitment

Regulatory Scrutiny of the ICO Market – What Fund Managers Should Know

By Joshua M. Newville, Anthony Drenzek & Brian Hooven on April 30, 2018

Joshua M. Newville

SEC Extends Registration Requirements for Investment Companies and Broker Dealers to ICOs and other Digital Assets

Crypto Crackdown – SEC Imposes Broker-Dealer and Investment Company Registration Provisions on Token Traders and a Crypto Fund

Mt. Gox Debacle Showcases Cryptocurrency Litigation Concerns

SEC Enforcement Co-Director Gives Guidance for Wells Process, Part 2

SEC Enforcement Co-Director Gives Guidance for Wells Process, Part 2

SEC Enforcement Co-Director Gives Guidance for Wells Process

SEC Enforcement Co-Director Gives Guidance for Wells Process

Unicorns: The Tale Continues

Regulatory Scrutiny of the ICO Market – What Fund Managers Should Know

Regulatory Scrutiny of the ICO Market – What Fund Managers Should Know

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