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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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'Winter is Coming' for Bank Stocks ... And Other Headlines and Headliners
December 12, 2018
FINES, SANCTIONS, LEGAL ACTIONS:
- Organic Enforcement: The Hain Celestial Group Commits Internal Controls Failures [SEC]
- The Wife, The Husband Stockbroker, The Divorce, The Wife's Complaint, And A FINRA Expungement Arbitration [BrokeAndBroker]
PEOPLE & COMPANIES:
- SEC Names Danae Serrano Acting Ethics Counsel and Designated Agency Ethics Official [SEC]
- Morgan Stanley to Lead Uber IPO [Bloomberg - vid]
- Morgan Stanley Warns ‘Winter Is Coming’ for Bank Stocks [Bloomberg]
- Here's Why Bank Stocks are Leading the Market Lower and Likely to Continue to Do So - Dick Bove [CNBC]
► Michael Cohen Gets Prison, Saying His Duty Was to Hide Trump’s ‘Dirty Deeds’ [Bloomberg]
- National Inquirer Admits to Aiding Trump Campaign - New Peril for Trump's Circle [Bloomberg]
- Jordan Belfort, 'Wolf of Wall Street', to Surrender More Profits to Victims - Judge [CNBC]
- AIG names Mark Lyons Chief Financial Officer [Reuters]
HEADLINES & HEADLINERS:
