Wunderlich Files Motion to Vacate FINRA Arbitration Citing Zoom Hearing
Wunderlich Securities, Inc. and Gary Wunderlich, Petitioners, v. Dominick & Dickerman, LLC and Michael J. Campbell, Respondents (Petition to Vacate Arbitration Award, United States District Court for the Southern District of New York)
Brokerage Firm Sues Compliance Services Provider Over FINRA Sanctions.
Triton Pacific Securities, LLC, Plaintiff/Counterclaim Defendant v. Mission Critical Services Corp., Defendant/Counterclaim Plaintiff/Third-Party Plaintiff, v. Triton Pacific Adviser, LLC, Triton Pacific Investment Corporation, Inc., Triton Pacific Capitol Partners, LLC, Triton Pacific Investment Group, LLC, Craig J. Faggen, Michale L. Carroll, Brian D. Buehler, and Wendy Poole, Third-Party Defendants (Opinion and Order, SDNY)
SEC Charges Bloomberg Tradebook for Order Routing Misrepresentations (SEC Release)
Layoffs Start Turning From Temporary to Permanent Across America (Bloomberg by Shawn Donnan and Joe Deaux)
Instacart's Frantic Dash From Grocery App to Essential Service / The grocery delivery startup added 300,000 workers in eight weeks, but Covid-19 is still overtaking it in more ways than one. (Bloomberg by Ellen Huet and Lizette Chapman)
[In]Securities Guest Blog: Marconi Plays the Mamba by Aegis Frumento Esq (BrokeAndBroker.com Blog)
SEC Files Charges in International Ponzi Scheme (SEC Release)
SEC Directs Equity Exchanges and Financial Industry Regulatory Authority to Improve Governance of Market Data Plans (SEC Release)
Statement on Order to Modernize the Governance Structure of National Market System Plans for Equity Market Data (Statement by SEC Chair Jay Clayton)
Statement on Final Order Directing the Creation of a New Plan for Consolidated Equity Market Data (Statement by Commissioner Allison Herren Lee)
Statement at Open Meeting Considering Commission Order Addressing Equity Market Data Plan (Statement by Commissioner Elad L. Roisman)
Statement on Equity Market Data Governance Reforms (Statement by Commissioner Hester M. Peirce)
