Morgan Lewis

Related Publications

06/12/12 Private Client Disputes and Litigation Panel, presented at the 2012 MMI Compliance and Legal Seminar
(pdf)
January 2011 2010 Year in Review: SEC and SRO Selected Enforcement Cases and Developments Regarding Broker-Dealers
12/02/10 Working with Expert Consultants: Procedures for Controlling Material Non-Public Information (MNPI)
(pdf)
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Related News

01/07/13 Securities Group of the Year: Morgan Lewis, Law360
Law360 lists Morgan Lewis's Securities Industry Practice as one of its Securities Groups of the Year for 2012.
07/16/08 Morgan Lewis Elevates 22 Attorneys to Partner
Effective October 1, 2008 the following Morgan Lewis attorneys will be elevated to partner. The twenty-two attorneys represent seven practice areas and span nine international offices.
View all news
Photo of Michael S. Kraut

Practice Areas

Bar Admissions

  • New York

Court Admissions

  • U.S. District Courts for the Southern and Eastern Districts of New York
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Michael S. Kraut

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New York
101 Park Avenue
New York, NY 10178-0060
Phone: 212.309.6927
Fax: 212.309.6001

17 Publications Found
Date Title Publication
06/12/1206/12/12 Private Client Disputes and Litigation Panel, presented at the 2012 MMI Compliance and Legal Seminar

pdf View Presentation
Speech
01/26/11January 2011 2010 Year in Review: SEC and SRO Selected Enforcement Cases and Developments Regarding Broker-Dealers

pdf View Publication
White Paper
12/02/1012/02/10 Working with Expert Consultants: Procedures for Controlling Material Non-Public Information (MNPI)

pdf View Presentation
Webinar
08/06/10August 2010 2010 Mid-Year in Review: SEC and SRO Selected Enforcement Cases and Developments Regarding Broker-Dealers

pdf View White Paper
White Paper
02/25/1002/25/10 Enforcement Developments Regarding Broker-Dealers, Law360 Guest Column

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Article
01/28/10January 2010 2009 Year in Review: SEC and SRO Selected Enforcement Cases and Developments Regarding Broker-Dealers

pdf View White Paper
White Paper
07/31/09July 2009 2009 Mid-Year in Review: SEC and SRO Selected Enforcement Cases and Developments Regarding Broker-Dealers

pdf View White Paper
White Paper
05/26/0905/26/09 SEC and FINRA Enforcement in 2009 Year-to-Date: The Handcuffs Are Off

pdf View LawFlash
Securities Hot Topics
02/05/0902/05/09 2008 SEC and SRO Enforcement Year in Review, Complinet

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Article
01/21/09January 2009 2008 Year in Review: SEC and SRO Selected Enforcement Cases and Developments Regarding Broker-Dealers

pdf View White Paper
White Paper
12/10/0812/10/08 Tracker Impact Analysis: FINRA Provides Guidance on Obtaining Credit for Extraordinary Cooperation, Complinet

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Article
11/06/0811/06/08 Tracker Impact Analysis: SEC Fines LPL Financial Corporation for Regulation S-P Violations, Complinet

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Article
08/15/08August 2008 U.S. SEC, FINRA and NYSE Regulation: Mid-Year Review – Selected Broker-Dealer Enforcement Cases and Developments

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White Paper
02/01/08January/February 2008 2007 Year In Review: SEC and SRO Enforcement Cases and Developments Regarding Broker-Dealers, NSCP Currents

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Article
01/18/08January 2008 2007 Year in Review: SEC and SRO Selected Enforcement Cases and Developments Regarding Broker-Dealers

pdf View White Paper
White Paper
07/01/07Summer 2007 U.S. SEC, NASD, and NYSE Regulation: Selected Enforcement Cases and Developments in the First Half of 2007 Regarding Broker-Dealers

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White Paper
01/01/06January 2006 2005 NASD, NYSE, and SEC Enforcement Developments

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White Paper