Tag: Bars

Morgan Stanley Banker Pawan Passi Joins Firm That Got His Block Trading Leaks – Bloomberg

Pawan Passi was hired by Frank Fu’s CaaS Capital Management, according to people familiar with the matter. CaaS made its name partnering with banks as they sought buyers for block trades, becoming one of the biggest US funds dedicated to buying big chunks of stocks. A yearslong investigation into block trading that reverberated across the industry culminated in January after…

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SEC Quietly Reinstates Spencer Barasch to Practice Before Commission After One-Year Bar – Compliance Week

On September 5, 2013, the SEC quietly issued an Order stating that Spencer C. Barasch was reinstated to practice as an attorney before the Commission. The Order seems to bring to a conclusion an over eight-year saga in which Barasch went from being an associate district director for the SEC’s Division of Enforcement in its Fort Worth office to what I…

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