Bridging the Week by Gary DeWaal: January 14 – 18 and January 22, 2019 (Hacking at the SEC; Digital Assets; Spoofing)

Published Date: January 21, 2019

Last week the Securities and Exchange Commission filed an enforcement action against nine defendants related to its 2017 discovery that its Electronic Data Gathering, Analysis, and Retrieval (EDGAR) system used for receiving and retaining various corporate filings had been hacked and that persons likely had traded on material nonpublic information obtained through the cyber intrusion. A related criminal indictment organized by the Department of Justice was also filed. Separately, during the prior week, the first person convicted and sentenced to serve time in prison for spoofing under the Dodd Frank Wall Street Reform and Consumer Protection Act requested a new trial based on data he claimed was not made available for use by relevant exchanges during his initial trial. 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
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