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- Former JPMorgan Broker Files racial discrimination suit against company
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- Getting a Handle on Virtual Currencies - FINRA
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AIG's $21Mn CEO, Deutsche Dismisses Trader, UBS Weighs Asset Management Future … And Other Sanctions, Legal Actions, People and Companies
April 3, 2019
- - Compiled by Howard Haykin
FINES, SANCTIONS, LEGAL ACTIONS:
- Prison and Ordered Restitution for NY Broker Who Defrauded >20 Investors [SEC]
- FINRA Arbitration Asks If Conservative Strategy Was Too Conservative [BrokeAndBroker]
- Former CEO of Silicon Valley Startup Defrauds Investors [SEC]
- Cape Cod Advisor to Pay $3Mn, Spend 7 Years in Prison for Forging / Misappropriating Client Monies [SEC]
- FINRA Fines, Suspends Rep for Emailing Confidential Info of 1,696 Plan Participants [BrokerAndBroker]
- CFO/General Counsel of Private Mobile Payments Start-Up Company Complicit in Fraud [SEC]
- Deutsche Bank's U.S. Unit Kept Danske's Shady Billions Flowing [Bloomberg]
- Deutsche Bank Dismisses Credit Trader Over Client Chats [Bloomberg]
PEOPLE & COMPANIES:
- BlackRock’s Larry Fink Starts Biggest Organization Overhaul in Years [Bloomberg]
- Goldman CEO Turns Up in Saudi Arabia as Khashoggi Uproar Fades [Bloomberg]
- Ameriprise Financial Announces Agreement to Sell Auto & Home Business - Stock Price Jumps [BusinessWire]
- AIG Paid CEO Duperreault $20.9 Million for 2018 [Reuters]
- LPL Financial Insiders Have Been Selling [SimplyWallSt.]
- UBS Weighing Merger for Asset Management Unit [Bloomberg]
