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Stories of Interest
- Credit Suisse Fully Compliant on Sanctions: CEO
- Ex-UBS Metals Trader Beats Spoofing Conspiracy Charge
- Investment Advisor, WCAS Management Corp, To Pay Nearly $800K Over Conflicts of Interest
- Altaba, fka Yahoo!, to Pay $35Mn for Failing to Disclose Massive Cybersecurity Breach - SEC
- SEC Formerly Bars Martin Shkreli from Industry
- HF Billionaire Steve Cohen Buying Into Fintech Start-Ups
- Deutsche Bank Is Weighing Massive Cuts in Its U.S. Cash Equities Unit
- Richard Jenrette, Co-Founder of DLJ Investment Bank, Dies at 89
- Goldman Sachs Makes First Hire in Cryptocurrency Markets Unit
- Special FINRA Election to Fill Large Firm Governor Vacancy
- Chicago-Based Investment Adviser Sentenced to 151 Months in Prison - SEC
- Dun & Bradstreet Hit With FCPA Violations - SEC
- SEC Charges Additional Defendant in Fraudulent ICO Scheme
- Warren Buffett Simply Blew it on Wells Fargo Stock: Dick Bove (Video)
- Barclays and Deutsche Bank to Lag U.S. Trading Peers
- NY AG Schneiderman Seeks to Close Loophole That Could Let Trump Pardons Block State Charges
- 'Fearless Girl' is Moving to NYSE After Year Staring Down 'Charging Bull'
- What's In Your Wallet - American Express Shares Soar After Earnings Release
- Deutsche Bank's Executive Departures Continue Following Change in CEO
- Reflections of an Economist Commissioner (SEC's Piwowar)
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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.