Vineeta Prakash Kamath

Vineeta Prakash Kamath

Morgan Lewis

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2018 Year in Review: Select SEC and FINRA Developments and Enforcement Cases

The Morgan Lewis Year in Review highlights key US Securities and Exchange Commission (the SEC or the Commission) and Financial Industry Regulatory Authority (FINRA) enforcement developments and cases regarding broker-dealers,...more

2/28/2019  /  Broker-Dealer , Disgorgement , Enforcement Actions , Financial Industry Regulatory Authority (FINRA) , Investment Adviser , Investment Companies , Securities and Exchange Commission (SEC)

2017 Year in Review: Select SEC and FINRA Developments and Enforcement Cases

Executive Summary - The Morgan Lewis Year in Review highlights key US Securities and Exchange Commission (the SEC or the Commission) and Financial Industry Regulatory Authority (FINRA) enforcement developments and cases...more

2/27/2018  /  Disgorgement , Enforcement Actions , Financial Industry Regulatory Authority (FINRA) , Penalties , Securities and Exchange Commission (SEC) , TRACE , Whistleblowers
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