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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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Millennials Stick with Cryptocurrency, Brokers Win Expungement ... and Other Sanctions, Headlines & Headliners
November 21, 2018
FINES & SANCTIONS:
- Two ICO Issuers Agree to Register Tokens as Securities [SEC] [SEC Order - Airfox] [SEC Order - Paragon]
- California RIA Didn't Give Breakpoint Discounts on Advisory Fees [SEC]
- Stockbroker Wins Expungements of Decade Old Customer Complaints [BrokeAndBroker]
- UBS Must be ‘Punished’ in French Tax Case - Prosecutor [Bloomberg]
- U.S. Investigators Approach DB, BofA, JPM in Danske Money Laundering Probe [Bloomberg]
- Stockbroker Victimized by Mother-In-Law Complaint About Stolen Funds [BrokeAndBroker]
- Goldman Sachs Places Andrea Vella on Leave Over 1MDB Case [Bloomberg]
- Merrill Broker Wins Expungement of Customer Complaint Over Auction Rate Securities (ARS) Suitability [AdvisorHub]
PEOPLE & COMPANIES:
- Wells Fargo Combines Private Bank, Ultra-High-Net-Worth Arms [Bloomberg]
- Citigroup to Move 1,100 Workers, Making Way for Amazon’s Arrival in Long Island City [CNBC]
- Kurt Gottschall Named Director of Denver Office [SEC]
- Capital One Buys Tech Startup Used by Millions to Price-Check While Shopping on Amazon [CNBC]
- Goldman Sachs, Below Book Value, Is Dow’s Worst Performer in 2018 [Barron’s – subsc reqd]
HEADLINES & HEADLINERS:
- Millennials Sticking with Cryptocurrency [NYPost]
- New Income Tax Brackets for 2019 [NYPost]
- FINRA 2019 FILINGS CALENDAR for Annual Audit, FOCUS Reports, Etc. [FINRA]
- Manage Your Securities Industry Career [FINRA]
- US Workers to Forfeit Half Their Vacation Time This Year [CNBC]
- SEC Divisions Issue Statement on Digital Asset Securities Issuance and Trading [CorpFin, InvestMgmt, Trading/Mktg]d
