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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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Court Sides with SEC in Conflict-Of-Interest Case, The Richest Hedge Fund Managers ... And Other Headlines and Headliners
May 1, 2019
- - Compiled by Howard Haykin
FINES, SANCTIONS, LEGAL ACTIONS:
- Former Barclays Trader Claims Bank Fired Him for Misconduct After Whistleblowing [Reuters]
- Deutsche Bank, Capital One Sued by Trump Family, Escalating Fight Over Democratic Subpoenas [Reuters]
- Morgan Stanley Reaches $10.2Mn Expense Settlement with California Advisors [AdvisorHub]
- Federal Court Remands SEC's Willfulness Findings in Robare Form ADV Case (And Addresses Reliance on Compliance Consultants) [BrokeAndBroker]
► Robare Group Decision Highlights Importance of Form ADV Disclosures [ThinkAdvisor]
PEOPLE & COMPANIES:
- Former Morgan Stanley Exec Launches Firm to Help Prevent Pro Athletes from Going Broke [BizJournals]
- How Schwab Came to Tower Over Wall Street [Barron's]
- Wells Fargo Lobbies Hard [Barron's]
- Bridgewater’s Ray Dalio Tops the List of Hedge Fund Manager Compensation [NYTimes]
► The Rich List (Top Ten) [InstitutionalInvestor]
- UBS Tells Some Managers to Only Hire When Five Leave [ThinkAdvisor]
HEADLINES & HEADLINERS:
- House Passes Bill Requiring SEC to Set Up Senior Task Force [ThinkAdvisor]
- Imposter Websites Impacting Broker-Dealers [FINRA InfoNote]
- Beyond Hollywood: Money Laundering in the Securities Industry [FINRA Podcast]
- SEC Adocate to Host Roundtable to Kick Off National Small Business Week [SEC]
- Munis Have the Best Start Since 2014 and Show No Sign of Slowing [Bloomberg]
- Tech Is Splitting the U.S. Work Force in Two [NYTimes]
- Pelosi, Schumer, Trump Agree on $2Tn for Infrastructure Spending, While Leaving Funding in Doubt [MarketWatch]
