William M. Moore

Of Counsel

Location:
San Diego, California
Phone:
(619) 696-9500 (Ext. 121)
Direct:
(619) 546-5589
Fax:
(800) 868-9350
Email:
wmoore@shufirm.com

Areas of Practice

  • Business and Commercial Litigation
  • Securities and Financial Services Litigation
  • Trade Secret Litigation
  • Employment Litigation
  • Real Estate, Development and Construction Litigation
  • Judgment Enforcement Proceedings
  • Arbitration and Mediation
  • Corporate Investments, Capital Rounds, Mergers, Acquisitions and Exits
  • Business Entity Formation, Employment Agreements, Partnership Documents
  • Corporate and Transactional Counsel to Companies, Founders, and Investors
  • Outside General Counsel to Technology Startups and Mature Businesses
  • Regulatory and Permitting issues
  • Land Use and Real Estate Development
  • Federal, State, and Local Legislative Lobbying and Government Affairs
  • Media and Communications

Recent Articles by William M. Moore

July 27, 2026
Sripetch v. SEC: Supreme Court Resolves Circuit Split, Allowing SEC to Retain Extensive Power to Seek Disgorgement Remedies
Posted in Securities Arbitration & Litigation
SEC
For nearly a decade, the Supreme Court has steadily reshaped the Securities and Exchange Commission's authority to seek disgorgement. Beginning with Kokesh v. SEC, 581 U.S. 455 (2017) and continuing through Liu v. SEC, 591 U.S. 71 (2020), the Court imposed meaningful limits on a remedy that had become a central feature of SEC enforcement. Many expected the Court to continue narrowing disgorgement in Sripetch v. SEC, 608 U.S. ___, No. 25-466, slip op. at 13 (June 4, 2026). Instead, the Court unanimously preserved one of the SEC's most important enforcement tools.
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May 14, 2026
Warning: Your AI Chat Is Not Privileged and It Probably Doesn’t Help That Much
Posted in Business, Employment & Legal Developments
Business Law
Artificial intelligence is no longer a back-office tool in financial services. It is now embedded directly in how retail investors—particularly self-directed clients—research, evaluate, and execute investment decisions. For broker-dealers, registered investment advisors, and registered representatives, this shift is not merely technological. It is creating a new and evolving layer of regulatory exposure, litigation risk, and supervisory complexity.
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March 23, 2026
Proposed Regulation Would Narrow Scope of FINRA’s "Outside Business Activity" Rule
Posted in Financial Advisor & Broker Disputes, Securities Regulation & Compliance
FINRA
FINRA and the SEC have proposed replacing FINRA Rules 3270 and 3280 with a single new Rule 3290 designed to narrow reporting to investment-related activities and preserve stricter controls for outside securities transactions, especially when selling compensation is involved. This proposed regulation is currently before the SEC and may be adopted this spring.
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