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Editors

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Harry Cassin
Publisher and Editor

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Andy Spalding
Senior Editor

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Jessica Tillipman
Senior Editor

WILLIAM B.F. STEINMAN

Bill Steinman
Senior Editor

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Richard L. Cassin
Editor at Large

Elizabeth K. Spahn

Elizabeth K. Spahn
Editor Emeritus

Cody Worthington

Cody Worthington
Contributing Editor

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Julie DiMauro
Contributing Editor

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Thomas Fox
Contributing Editor

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Marc Alain Bohn
Contributing Editor

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Bill Waite
Contributing Editor

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Shruti J. Shah
Contributing Editor

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Russell A. Stamets
Contributing Editor

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Richard Bistrong
Contributing Editor

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Eric Carlson
Contributing Editor

Ex-Morgan Stanley trader hid Venezuela bond trades from compliance reviews

Richard L. Cassin June 5, 2017

The Financial Industry Regulatory Authority (FINRA) barred a former Morgan Stanley representative for concealing the customers behind around $190 million in Venezuelan bond trades.

John Batista Bocchino hid the customers’ trades from Morgan Stanley by creating hundreds of documents containing false information, including new account forms and trade tickets, FINRA said Thursday.… Continue Reading

SEC bans former PetroTiger GC

Richard L. Cassin June 5, 2017

The former general counsel of oil and gas services firm PetroTiger was suspended from practicing before the U.S. Securities and Exchange Commission after pleading guilty to an FCPA conspiracy.

Gregory Weisman was sentenced in September 2015 to two years probation.… Continue Reading