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TRENDING TAGS
Stories of Interest
- 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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NEWSLETTERS & ALERTS
Personnel Changes at SEC
- Director of Corp. Finance to Leave.
- Associate Director of Enforcement to Leave.
- New Deputy Director of Trading and Markets.
1. Deputy Director of Corp. Finance to Leave.. Brian Breheny, the Deputy Director for Legal and Regulatory Policy in the Division of Corporation Finance, will depart the agency after more than 7 years. Mr. Breheny joined the SEC mid-2003 as Chief of the SEC’s M&A Office. In November 2007 he became a Deputy Director with responsibility for the Division’s legal and regulatory policy support offices. Mr. Breheny will become a partner in the D.C. office of Skadden, Arps, Slate, Meagher & Flom. During his tenure, he assisted with significant rule amendments, including shareholder director nominations, tender offers, beneficial ownership reporting, e-delivery of proxy materials, e-shareholder forums, short sale disclosure, and proxy voting and shareholder communications. [SEC PR 10-158, 8/30]
2. Associate Director of Enforcement to Leave. Christopher Conte, an Associate Director in the Division of Enforcement since 2006, will leave the SEC next month after nearly 18 years. He'll join Steptoe & Johnson as a partner in the firm's D.C. office. Mr. Conte, 49, joined the SEC as a staff attorney in 1992, and was promoted to Branch Chief in 1997, Deputy Assistant Director in 1999, and Assistant Director in 2000. During his SEC tenure, he's been involved with investigations involving such areas as: illicit payments under the FCPA, manipulative short selling practices, insider trading, e-mail preservation, audit failures, and auditor independence. [SEC PR 10-157, 8/30]
3. New Deputy Director of Trading and Markets. John Ramsay has been named a Deputy Director in the Division of Trading and Markets, where he'll oversee several core regulatory functions, focusing on B/D financial responsibility and clearance and settlement. He'll also play a key role in the Division's contribution to the SEC-wide implementation of Dodd-Frank Reform Act. The Division's other Deputy Director, James Brigagliano, has served in that role since March 2009. Earlier in his career, Mr. Ramsey served with the SEC as Deputy Chief Counsel for Market Regulation and as Counsel to then-Commissioner Mary Schapiro. He's also worked for the CFTC nd NASD, Morgan Lewis and Bockius (as a partner), the Bond Market Association, Citigroup Global Markets, and most recently the Regulatory Fundamentals Group — a private consulting firm. [SEC PR 10-156, 8/30]

