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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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NEWSLETTERS & ALERTS
Wall Street News
FINRA Disciplinary Actions Against 14 Firms in June Report
by Howard Haykin
Topic - Sales of LImited Partnership: FINRA Case #2015043469001.
Topic - Supervision of ...: Muni Bonds (FINRA Case #2016047661702); Variable Annuities (Case #2015043369501); Variable Annuities (Case #2015043390301); Order Entry (Case #2011027891502); Excessive Trading in Customer A/C's (Case #2015043310801).
Topic - Anti-Money Laundering: FINRA Case #2016052628901.
Topic - Equity Order Routing: FINRA Case #2013037652201; Case #2014041261702; Case #2015045281404.
Topic - Best Execution - Fixed Income: FINRA Case #2015044476201.
Topic - Trade Reporting: FINRA Case #2015046920901.
Topic - Parking Licenses: FINRA Case #2016047857701.
Topic - Email Review & Retention: FINRA Case #2016047857701.
Topic - Financial Records & Reporting: FINRA Case #2015043418701.
For details on any of these cases: