BROWSE BY TOPIC
Stories of Interest
- North Korean caught secretly mining bitcoin rival
- IPO Timelines Cut by 80% After SEC's Private Filing Decision
- How the Carried Interest Break Survived the Tax Bill
- FINRA: The Neutral Corner
- Coinbasex Says Buying and Selling Temporarily Disabled Amid Price Rout
- Bitcoin plunges by more than a third in a single day
- Goldman Is Setting Up a Cryptocurrency Trading Desk
- Jefferies Lets Employees Choose When to Receive Their Bonuses
- UBS Told to Pay $903K After Losing Retaliation Verdict
- BEWARE: Long Island Iced Tea Shares Soar After Changing Name to Long Blockchain
- Gary Cohn’s Last Laugh: Cashing Out on Trump’s Tax Plan
- E*Trade Lets Customers Trade in CBOE Bitcoin Futures
- Swiss Find Serious Shortcomings at JPMorgan in 1MDB Case
- Washington-based Investment Adviser and His Business Partner Charged in Multi-Million Dollar Scheme
- FINRA Board of Governors Meeting
- Cryptocurrency Market Now Doing Same Daily Volume as the NYSE
- Jailed Barclays Trader Must Pay $400,000 From Libor Profits
- Trump Asks ‘How’s Your 401(k)?’ But Most Voters Don’t Have One
- A Bitcoin Hedge Fund’s Return: 25,004% (That Wasn’t a Typo)
- Madoff Victims Near Full Recovery of Principal With Payout
We seek to provide information, insights and direction that may enable the Financial Community to effectively and efficiently operate in a regulatory risk-free environment by curating content from all over the web.
Stay Informed with the latest fanancialish news.
NEWSLETTERS & ALERTS
SEC Enforcement Has New Chief for Complex Financial Instruments Unit
The SEC announced that Daniel Michael has been named chief of the Enforcement Division’s Complex Financial Instruments Unit. Mr. Michael, who’s been with the Commission since 2010, will lead a specialized unit of attorneys and industry experts, based across the country, who investigate potential misconduct related to complex financial products and practices involving sophisticated market participants.
DAVID MICHAEL PROFESSIONAL CREDENTIALS. Mr. Michael joined the SEC in 2010, and has served as an assistant director based in the New York Regional Office since 2014. He has played a key role in a number of significant enforcement actions, including charges against Merrill Lynch for violating the SEC’s Customer Protection Rule.
Before joining the SEC, Mr. Michael worked in private practice in New York City and was a law clerk to U.S. District Judge Richard Berman of the U.S. District Court for the Southern District of New York. He received his JD from Harvard Law, and his BA magna cum laude from New York University.