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We seek to provide information, insights and direction that may enable the Financial Community to effectively and efficiently operate in a regulatory risk-free environment by curating content from all over the web.


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People & Firms: Headliners in the Financial World

October 11, 2018

People at the SEC …


  • Chief Human Capital Officer and HR Director Lacey Dingman is Leaving [SEC]
  • Commissioner Kara Stein: 'From the Data Rush to the Data Wars: A Data Revolution in Financial Markets' [SEC Speech]
  • Co-Enforcement Director Steven Peikin: 'Remedies and Relief in SEC Enforcement Actions' [SEC Speech]
  • Investment Mgmt Director Dalia Blass: 'Oversight of the SEC’s Division of Investment Management' [SEC Testimony]



People Elsewhere …


  • Trump Blames Federal Reserve for Stock Market Correction, Preserving His 'Perfect' Record -  [CNBC]
  • Ten Years After Lehman Brothers Failed, Where Are Some of its 25,000 Former Employees? [CNBC]
  • Jamie Dimon Delegating More Duties to Senior Execs [BizJournals] or [FinancialTimes

 ►    How JPMorgan's CFO, Marianne Lake, Became Top Prospect to Succeed Dimon [Reuters]

  • Prudential CEO John Strangfeld to Retire in November [WSJ subs reqd]
  • E*TRADE Elevates CFO Michael Pizzi to COO [MarketWatch]
  • Wells Fargo CEO Tim Sloan Says He's Prepared to Stay Until He's 65 [Bloomberg]



Financial Services Firms …


  • UBS on Trial in France Over Alleged Tax Fraud [Reuters]
  • Goldman Looking to Reduce Marcus Lending Goal on Credit Caution [Bloomberg]
  • JPMorgan to Trim Mortgage Banking Division, Slash 400 Jobs [Zacks]
  • Fidelity Is Thriving. Here’s What It Needs to Keep Thriving [Barron's]
  • JPMorgan Bucks Brick-and-Mortar Decline with Plan to Open 50 New Branches in Philadelphia Area [CNBC]
  • Wells Fargo Faces Tough Times Due to Litigation and Probes [MarketRealist]

 ►    Wells Fargo Going Backward with Thousands of Job Cuts as JPMorgan and Other Banks Boom [CNBC]

  • Finance Heavyweights Jump into Crypto [ Barron's]