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Wall Street News

Barclays Cuts, State Street Slides, UBS and DB Talk, Pretty Hurts … And Other Headlines and Headliners

April 23, 2019

- - Compiled by Howard Haykin

 

FINES, SANCTIONS, LEGAL ACTIONS:

 

  • Microcap Fraudster Ran Pump-and-Dump Scheme [SEC]
  • Charter Capital Mgmt and Principal Sanctioned Over Due Diligence and Conflicts [SEC]
  • SEC Halts Misappropriation and Fraudulent Securities Offering [SEC]
  • FINRA Arbitrators Dismiss Customer Claims Involving Stanford International Bank CDs [BrokeAndBroker]
  • FINRA Bars Broker Who Wouldn’t Cooperate in Personal Mail Probe [AdvisorHub]
  • Raymond James Resolves Class-Action Suits Alleging Hidden Commissions: Court Filing [AdvisorHub]

 

 

PEOPLE & COMPANIES:

 

  • Jefferies Backs Stonyrock Partners, Which is Led by Ex-Blackstone, Carlyle Execs [Bloomberg]
  • Franklin Resources Plans Cuts of Up to 5% of Workforce to Reduce Costs [Bloomberg]
  • Barclays to Cut Investment-Bank Bonuses as Activitist Investor Bramson Looms [Bloomberg]
  • State Street Slides After Q1 Quarter Profit Tumbles [TheStreet]
  • UBS Sacks Top Broker Craig Findley – Sources [AdvisorHub]
  • State Street Executive Pay Too High - Banking Analyst Mike Mayo Warns Shareholders [CNBC]
  • UBS, Deutsche Bank Talking Asset Management Merger [Reuters]

 

 

HEADLINES & HEADLINERS:

 

  • Stock Market Records for S&P 500 and Nasdaq, Ending Months-Long Drought [MarketWatch]
  • Patagonia ‘Power Vests’ with Goldman Sachs and JPMorgan Logos Selling for $200 on eBay [MarketWatch]
  • Pretty Hurts (Women’s Careers) [NYTimes]