Technology Support for Trading Platforms Tabletop Exercise (ATS, Data Rooms, High Frequency/Algo’s)
This tabletop exercise challenges firms to respond to a cyberattack targeting trading infrastructure. It examines incident response coordination, contingency planning, and communication protocols necessary to sustain trading operations and preserve market integrity under technology failure or compromise.
2022075083801 Zachary Ellis Taylor CRD 6074776 AWC lp (2025-1758759603525).pdf
Between August 2020 and June 2023, Taylor recommended that at least three senior
customers with balanced allocation investment objectives and moderate risk tolerances
invest in speculative options strategies. Specifically, Taylor recommended that his
customers sell large numbers of higher-risk put options contracts in high-volatility
technology stocks-those customers suffered significant losses when those puts were assigned. Taylor's recommendations were not suitable and were not in the customers' best interest based on their investment profiles.
