James Van De Graaff

James Van De Graaff

Katten Muchin Rosenman LLP

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Latest Posts › Disciplinary Proceedings


CBOE Reminds Trading Permit Holders to Notify Exchange of Disciplinary Actions

The Chicago Board Options Exchange (CBOE) issued a Regulatory Circular reminding Trading Permit Holders (TPH) that CBOE Rule 4.9 requires every TPH to notify the CBOE in writing of any disciplinary action taken by other...more

6/11/2013 - CBOE Disciplinary Proceedings Permits Trading Plans

Proposed Change to FINRA Rule Regarding Release of Disciplinary Complaints, Decisions and Other Information

The Financial Industry Regulatory Authority filed a proposed rule change to amend Rule 8313, which governs the release of disciplinary and other information by FINRA to the public. Among other things, amended Rule 8313 would...more

4/2/2013 - Disciplinary Proceedings FINRA Public Disclosure SEC

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