Bridging the Week by Gary DeWaal: July 17 to 21 and July 24, 2017 (LOPR; Transitory EFRPs; Injunction Against Cutting Off Services; Convictions for Manipulation Overturned; London Whale)

Published Date: July 24, 2017

A broker-dealer agreed to pay a fine of US $2.5 million  to the Financial Industry Regulatory Authority and three other self-regulatory organizations for alleged violations of its obligation to report large options positions timely and accurately. In addition, two firms resolved disciplinary actions with CME Group exchanges for purportedly violating prohibitions against engaging in transitory exchange for related position transactions. As a result, the following matters are covered in this week’s edition of Bridging the Week:

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Gary DeWaal

Gary DeWaal is currently Special Counsel with Katten Muchin Rosenman LLP in its New York office focusing on financial services regulatory matters. He provides advisory services and assists with investigations and litigation.

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Gary DeWaal
Katten Muchin Rosenman LLP
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New York, NY 10022-2585


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