Michael S. Kraut
Email: mkraut@morganlewis.com
- New York
-
101 Park Avenue
New York, NY 10178-0060
Phone: 212.309.6927
Fax: 212.309.6001
Publications
| Date | Type | Title |
| January 2011 | Morgan Lewis Title | 2010 Year in Review: SEC and SRO
Selected Enforcement Cases and
Developments Regarding Broker-Dealers |
| 12/02/2010 | Presentation | Working with Expert Consultants: Procedures for Controlling Material Non-Public Information (MNPI) |
| August 2010 | Morgan Lewis Title | 2010 Mid-Year in Review: SEC and SRO Selected Enforcement Cases and Developments Regarding Broker-Dealers |
| 02/25/2010 | Outside Publication | Enforcement Developments Regarding Broker-Dealers, Law360 Guest Column |
| January 2010 | Morgan Lewis Title | 2009 Year in Review: SEC and SRO Selected Enforcement Cases and Developments Regarding Broker-Dealers |
| July 2009 | Morgan Lewis Title | 2009 Mid-Year in Review: SEC and SRO Selected Enforcement Cases and Developments Regarding Broker-Dealers |
| 05/26/2009 | LawFlash/Client Alert | SEC and FINRA Enforcement in 2009 Year-to-Date: The Handcuffs Are Off |
| 02/05/2009 | Outside Publication | 2008 SEC and SRO Enforcement Year in Review, Complinet |
| January 2009 | Morgan Lewis Title | 2008 Year in Review: SEC and SRO Selected Enforcement Cases and Developments Regarding Broker-Dealers |
| 12/10/2008 | Outside Publication | Tracker Impact Analysis: FINRA Provides Guidance on Obtaining Credit for Extraordinary Cooperation, Complinet |
| 11/06/2008 | Outside Publication | Tracker Impact Analysis: SEC Fines LPL Financial Corporation for Regulation S-P Violations, Complinet |
| August 2008 | Morgan Lewis Title | U.S. SEC, FINRA and NYSE Regulation: Mid-Year Review – Selected Broker-Dealer Enforcement Cases and Developments |
| January/February 2008 | Outside Publication | 2007 Year In Review: SEC and SRO Enforcement Cases and Developments Regarding Broker-Dealers, NSCP Currents |
| January 2008 | Morgan Lewis Title | 2007 Year in Review: SEC and SRO Selected Enforcement Cases and Developments Regarding Broker-Dealers |
| Summer 2007 | Morgan Lewis Title | U.S. SEC, NASD, and NYSE Regulation: Selected Enforcement Cases and Developments in the First Half of 2007 Regarding Broker-Dealers |
| January 2006 | Morgan Lewis Title | 2005 NASD, NYSE, and SEC Enforcement Developments |