The Wall Street Legal & Regulatory Feed
Securities Industry Commentator by Bill Singer Esq WEEK IN REVIEW
October 23, 2021
After Morgan Stanley Raised Serious Questions in Failed TRO Against Former Employee, The Parties Stipulate to Preliminary Injunction (BrokeAndBroker.com Blog)
Attorney General James Directs Unregistered Crypto Lending Platforms to Cease Operations In New York, Announces Additional Investigations / Today's Announcement Follows Previous Warnings to Virtual Currency Platforms That Unlawful Activity Will Not Be Tolerated in New York (NYAG Release)
SEC Staff Releases Report on Equity and Options Market Structure Conditions in Early 2021(SEC Release)
Statement on Staff Report on Equity and Options Market Structure Conditions in Early 2021 by Chair Gary Gensler
Statement on Staff Report on Equity and Options Market Conditions in Early 2021 by SEC Commissioner Hester M. Peirce and Commissioner Elad L. Roisman
Enhancing Equity Market Competition (Speech by SEC Commissioner Elad L. Roisman)
FINRA Fines and Suspends Rep for Removing and Retaining Customer Information
In the Matter of Robert Frederick Geiler, Respondent (FINRA AWC)
Federal Circuit Court Sustains Registered Rep's Conviction and Sentence of 90 Months (BrokeAndBroker.com Blog)