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- Sarah ten Siethoff is New Associate Director of SEC Investment Management Rulemaking Office
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- 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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College-Entrance Bribery Scheme, Wells Fargo CEO Testimony ... And Other Headlines and Headliners
March 13, 2019
Compiled by Howard Haykin
FINES, SANCTIONS, LEGAL ACTIONS:
- Texas Radio Host Doc Gallagher (The "Money Doctor") Ran $20Mn Ponzi Scheme Targeting Elderly Investors [SEC]
- Nine Individuals, NanoTech Companies Charged in Microcap Scheme [SEC]
- Celebrity Parents, Coaches Charged in Vast College-Entrance Bribery Scheme [Bloomberg]
► Former Pimco CEO Douglas Hodge charged in major college cheating scheme [CNBC]
► College Scam Mastermind Photoshopped Students’ Faces Onto Athletes: Prosecutors [NYPost]
- Ex-Goldman Bankers Leissner, Ng Banned from Industry by Fed [Bloomberg]
- FINRA Finds (AGAIN!) That Ameriprise Stockbroker Altered and Concealed Evidence in Customer Arbitration [BrokeAndBroker]
- Ex-SocGen Woman of the Year Sues for $6Mn After Firing [Bloomberg]
PEOPLE & COMPANIES:
- Wells Fargo's CEO Disputes Claim His Bank is Too Big to Manage [Bloomberg]
► Wells Fargo CEO Draws Bipartisan Rebuke at Tough House Hearing [Bloomberg]
► Wells Fargo’s CEO Dodges Fiduciary Question [WealthManagement]
- Citigroup Looks to Speed Up 2019 Expense Cuts [Reuters]
- JPMorgan's Chase to Open Up to 90 Branches in 9 U.S. Markets [Reuters]
- Deutsche Bank Faces Merger Pushback as 30,000 Jobs Seen at Risk [Bloomberg]
HEADLINES & HEADLINERS:
