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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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Transformative People in Business, FINRA Settlements, Goldman Cuts … And Other Headlines and Headliners
April 16, 2019
- - Compiled by Howard Haykin
FINES, SANCTIONS, LEGAL ACTIONS:
- Morgan Stanley Supervisor Goofs but Stockbroker Pays the Price [BrokeAndBroker]
- FINRA Disciplinary Actions for April 2019 [FINRA]
- Preston Hollow Capital v. Nuveen: Subpoenas to Goldman Sachs, JPMorgan re: Threats and Intimidation [Bloomberg]
- Italian Bank Unicredit to Pay $1.3Bn Money Laundering Fine [NYPost]
- RBC Loses FINRA Arbitration: Florida Retiree Awarded Full Restitution [WealthMgmt]
- Sonny Corleone at the Toll Booth: A Study of a FINRA Email Review Settlement [BrokeAndBroker]
- Credit Suisse, In Possession of Oil Trader's Private Jet, Now Seeks 3 London Homes [Bloomberg]
PEOPLE & COMPANIES:
- Goldman Sachs Cutting Nearly 100 Jobs After Profits Tumbled [BusinessInsider]
- Goldman Expanding Wealth Management to the Masses [AdvisorHub]
- INTRODUCING: The 100 People Transforming BUSINESS [BusinessInsider]
► INTRODUCING: The 10 People Transforming INVESTING [BusinessInsider]
► INTRODUCING: The 10 People Transforming FINANCE [BusinessInsider]
► INTRODUCING: The 10 People Transforming CAPITALISM [BusinessInsider]
HEADLINES & HEADLINERS:
- Supreme Court Decision ‘Greatly Expands’ SEC 10b-5 Liability [PlanAdviser]
- About FINRA: Office of the Ombudsman [FINRA]
- U.S. Economy Will Expand Through 2021 - Deutsche Bank [Bloomberg]
- BlackRock's Fink Expects 'Huge' Rush into Underinvested Stock Market [Bloomberg]
- Deutsche Bank, Others Get Subpoenas from U.S. House Panels re: Trump Probe [CNBC]
- Treasury Market Driving New Hot Trade in U.S. Equities [Bloomberg]
- Most Heavily Shorted ETFs in the Market are Soaring [CNBC]
