Bridging the Week by Gary DeWaal: August 22 to 26 and August 29, 2016 (Summarily Barred; False Performance Data; Inadequate Disclosure; The Grass Is Greener)

Published Date: August 29, 2016

Last week, a nonmember was summarily barred from accessing all CME Group exchanges’ markets for 60 days for endeavoring to disguise that he was the controller of five trading accounts that were not in his name. In addition, 13 investment advisers agreed to settle charges brought by the Securities and Exchange Commission that they passed along to their own investors false performance data provided by an independent third party adviser. As a result, the following matters are covered in this week’s edition of Bridging the Week:

Note: Because of the US Labor Day holiday, the next edition of Bridging the Week will be September 12, 2016.

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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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