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TRENDING TAGS
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- Sarah ten Siethoff is New Associate Director of SEC Investment Management Rulemaking Office
- Catherine Keating Appointed CEO of BNY Mellon Wealth Management
- Credit Suisse to Pay $47Mn to Resolve DOJ Asia Probe
- SEC Chair Clayton Goes 'Hat in Hand' Before Congress on 2019 Budget Request
- SEC's Opening Remarks to the Elder Justice Coordinating Council
- Massachusetts Jury Convicts CA Attorney of Securities Fraud
- Deutsche Bank Says 3 Senior Investment Bankers to Leave Firm
- World’s Biggest Hedge Fund Reportedly ‘Bearish On Financial Assets’
- SEC Fines Constant Contact, Popular Email Marketer, for Overstating Subscriber Numbers
- SocGen Agrees to Pay $1.3 Billion to End Libya, Libor Probes
- Cryptocurrency Exchange Bitfinex Briefly Halts Trading After Cyber Attack
- SEC Names Valerie Szczepanik Senior Advisor for Digital Assets and Innovation
- SEC Modernizes Delivery of Fund Reports, Seeks Public Feedback on Improving Fund Disclosure
- NYSE Says SEC Plan to Limit Exchange Rebates Would Hurt Investors
- Deutsche Bank faces another challenge with Fed stress test
- Former JPMorgan Broker Files racial discrimination suit against company
- $3.3Mn Winning Bid for Lunch with Warren Buffett
- Julie Erhardt is SEC's New Acting Chief Risk Officer
- Chyhe Becker is SEC's New Acting Chief Economist, Acting Director of Economic and Risk Analysis Division
- Getting a Handle on Virtual Currencies - FINRA
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Deutsche Cuts Back Correspondent Banking, The Future of RegTech ... And Other Headlines and Headliners
February 5, 2019
FINES, SANCTIONS, LEGAL ACTIONS:
- SEC Obtains Fraud Judgment Against Co-Owner of Defunct NY-Based Investment Adviser [SEC]
- Abandoned Car Wreck Of Public Customer FINRA Arbitration [BrokeAndBroker]
- SEC Obtains Judgment Against Penny Stock Promoter [SEC]
- Court Grants Partial Summary Judgment in Fraud Case Against Advisor and 2 Advisory Firms [SEC]
- Premature Withdrawal Ends In $445K Award Against Wells Fargo Rep [BrokeAndBroker]
- UBS Terminates 2 Lifers Accused of Charity Solicitation Violations [AdvisorHub]
PEOPLE & COMPANIES:
- Deutsche Bank Cuts Back Correspondent Banking After Danske Scandal [Reuters]
- Bill Gross Retiring with $1.5Bn Net Worth - See How 'Bond King' Spends Fortune, From a $1.3Bn Divorce to a Massive Real-Estate Portfolio [BusinessInsider]
- Deutsche Bank May Cut Bonuses if Revenue Fails to Grow [Bloomberg]
HEADLINES & HEADLINERS:
- Why It's Time to Load Up on Bank Stocks Now [Investopedia]
- Why Wall Street's Muni-Bond Desks Welcome the Tax-the-Rich Push [Bloomberg]
- Crypto CEO Dies Holding Only Passwords That Can Unlock Millions in Customer Coins [Bloomberg]
- FINRA: The Future of RegTech: The Challenges and Opportunities [FINRA Podcast]
