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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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Fines, Sanctions, Headlines & Headliners (7/6)
July 6, 2018
FINES, SANCTIONS, LEGAL ACTIONS:
- Ex-LPL Broker Disgorged of $1.9Mn in Commissions Over Unsuitable V/A Sales [SEC]
- 'Initial Registration Program' was $5Mn Fraud by Owings Group [SEC]
PEOPLE & COMPANIES:
-
JPMorgan Denies Report It's Considering Deutsche Bank Stake [Bloomberg]
► Deutsche Bank Shares Spike After Report Says JPMorgan Could Be Interested in Stake [BusinessInsider]
- Credit Suisse Creates New Anti-Sexual Harassment Role [CNBC]
HEADLINES & HEADLINERS:
- EPA's Scott Pruitt is Gone, But Trump Adminstration’s Culture of Corruption Remains [CNBC]
- Wall Street's Tom Lee Cuts Year-End Bitcoin Forecast to $20,000 [CNBC]
► Why Bitcoin May Soon Be Worth Nothing [NYPost]
