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- 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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Rate-Rigging Dismissal, No to Bitcoin Futures, TPG Exec's Big-$$$ Risk, Bank CEO Pay Hikes ... And Other Headlines and Headliners
March 16, 2019
Compiled by Howard Haykin
FINES, SANCTIONS, LEGAL ACTIONS:
- FINRA Disciplinary Actions for March 2019 [FINRA]
- UBS Hit with Harassment, Discrimination Lawsuit by Junior Trader [Reuters]
- Volkswagen, Former CEO Defrauded Bond Investors During "Clean Diesel" Emissions Fraud [SEC]
- Good Intentions Pave Merrill Lynch Stockbroker's Retirement Highway to Hell [BrokeAndBroker]
- U.S. Judge Dismisses Rate-Rigging Lawsuit Against RBC, BofA, DB, TD Bank and 5 Others [Zacks]
- Goldman Asked to Defend Role in 1MDB Deals by Malaysia Regulator [Bloomberg]
- Trump Should Pay $5.6Mn Penalty Over Charity – NY Attorney General [Bloomberg]
PEOPLE & COMPANIES:
- Goldman Sachs Cuts CEO Job in Brazil [Reuters]
- Goldman Sachs Lays Off Traders, More Cuts on the Way [NYBusinessJournal]
- Morgan Stanley Selling Feeder-Fund Business to iCapital [Bloomberg]
- Michael Snyder, Managing Director at MacKay Shields, Dies at 55 While Running on Vacation [Bloomberg]
- TPG Exec Bill McGlashan, Charged with Bribing to Get Son Into USC, Could Lose Hundreds of Millions [NYPost]
► PE Firm TPG Says it Fired Executive Charged In College Bribery Case (Bill McGlashan) - He Says He Quit [CNBC]
- Deutsche Bank Rejects Reinvigorating Retention Bonuses [Bloomberg]
- JPMorgan, Citigroup Disband Odd-Lot Trading Desks [Bloomberg]
- Why Warren Buffett Thinks JPMorgan's Stock Could Soar [MotleyFool]
- SEC CorpFin Director Hinman: Applying a Principles-Based Approach to Disclosing Complex, Uncertain and Evolving Risks [SEC Speech]
HEADLINES & HEADLINERS:
- Active Fund Managers Trail S&P 500 for Consecutive 9th Year – A Triumph for Indexing [CNBC]
- Trump Is Actually Making the Trade Deficit Bigger [Bloomberg]
► If You Don’t Understand What Causes the Trade Deficit, You Can’t Fix It [Bloomberg]
- Bank CEOs’ Pay Finally Surpasses Crisis-Era Level [Barrons]
- CBOE Puts Brakes on Bitcoin Futures [Reuters]
► CBOE Isn’t Listing Any New Bitcoin Futures Contracts [Bloomberg]
- SEC Staff to Hold Fintech Forum to Discuss Distributed Ledger Technology and Digital Assets [SEC]
