The Trouble With Texts
By EsqSocial Corporation 21/10/20
Having completed my Enforcement hearing conducted by Zoom – more about that in an upcoming post – I can finally turn my attention back to some matters that arose while I was busy. One that stood out for the sheer (and frightening) universality of its lesson is an SEC settlement entered into by Jonestrading Institutional Services, LLC. According to the Order, the firm was fined $100,000 for failing to preserve “business-related text messages sent or received by several of its registered...
By: Ulmer & Berne LLP