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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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Redefining 'Insider Trading', A New SEC Director, UBS Regulatory Costs Peak ... And Other Headlines and Headliners
May 29, 2019
- - Compiled by Howard Haykin
FINES, SANCTIONS, LEGAL ACTIONS:
- Will Congress Expand the Insider Trading Prohibition? [NYTimes]
- Not His Trade. Not His Fault. But Stockbroker Still Forced into FINRA Expungement Arbitration [BrokeAndBroker]
- Morgan Stanley Seeks to Restrain California Broker Who Jumped to Wells [AdvisorHub]
- 3-1/2 Years Later, Court Enters Final Judgment Against James Alan Craig of Scotland [SEC]
► False Tweets in 2015 Sent 2 Stocks Reeling in Market Manipulation [SEC LitigationRel]
- The Hysterical and Yelling Customer, The Market Crash, And a FINRA Expungement [BrokeAndBroker]
- SEC Obtains Asset Freeze in Offering Fraud Related to Opioid Crisis [SEC]
- SEC Announces Fraud Charges in Real Estate Investment Scam [SEC]
PEOPLE & COMPANIES:
- Erin Schneider Named Director of San Francisco Office [SEC]
- Deutsche Bank Reviews Capital Raising as Option for Overhaul [Bloomberg]
- Ted Cruz Sold Goldman Sachs Stock [Barron's - subsc reqd]
- Citigroup, a Goldman Sachs Rival, Pulled Out of the Apple Card Deal on Fears It Will Be a Money Loser [CNBC]
- Decade After Crash, Barclays Bets Again on Bundling U.S. Home Loans [Reuters]
- Goldman Sachs Names Executives in Asia, New York to Top Committee [Reuters]
► Goldman Expands its Top Leadership Group Again Under Solomon [Bloomberg]
- Jamie Dimon Calls Wells Fargo's Lack of CEO Plan ‘Irresponsible’ [Bloomberg]
- UBS Believes Regulatory Costs Have Peaked - Compliance Chief [Reuters]
► UBS Group Expects Regulatory Costs to Stay High in Near Term [Zacks]
HEADLINES & HEADLINERS:
- Bitcoin Jumps Toward $9,000 in Best-Performing Month Since 2017 [Bloomberg]
► Bitcoin Ready to Blast Past $10,000 - Analyst [MarketWatch]
- Amazon Refocuses Interest in Manhattan Office Space After Dropping Long Island City Deal [NYPost]
- DealBook Briefing: $16 Billion in Bailouts Says the Trade War Is Here to Stay [NYTimes]
- RICO Offers a Powerful Tool to Punish Executives for the Opioid Crisis [NYTimes]
- NYC Subway Extension to New Jersey Could Speed Commute for Thousands [Bloomberg]
