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TRENDING TAGS
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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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SEC $3Mn Whistleblower Award, Berkshire Hit in Ponzi Scam, SEC Hires New Cyber Advisor … And Other Headlines and Headliners
June 5, 2019
- - Compiled by Howard Haykin
FINES, SANCTIONS, LEGAL ACTIONS:
- Berkshire Hathaway Scammed by Couple for Millions in $800Mn Ponzi-Type Scheme [Bloomberg]
- SEC Charges Issuer with Conducting $100 Million Unregistered ICO [SEC]
- 2 Whistleblowers, Represented by Motley Rice, Split $3 Million Award from SEC [Law.com]
► SEC Acts in Public Interest and Renders $3 Million Whistleblower Award [BrokeAndBroker]
- Paul Manafort Set for Jail on Rikers Island, Where He Could be Placed in Solitary Confinement [BusinessInsider]
- Courts Affirm FINRA Award Via Virtual Naming of John Does In Customer Arbitration [BrokeAndBroker]
- Wells Broker Prevails Against Morgan Stanley’s Bid for Restraining Order [AdvisorHub]
PEOPLE & COMPANIES:
- Ahmed Abonamah Named Deputy Director of the SEC Office of Municipal Securities [SEC]
- Kevin Zerrusen Named Senior Advisor to SEC Chair Clayton for Cybersecurity Policy [SEC]
- Crypto Entrepreneur to Pay $4.6 Million for Charity Lunch with Bitcoin Skeptic Warren Buffett [BusinessInsider]
- Fater Belbachir is New Barclays’s New Global Head of Equities - Formerly with JPMorgan [Reuters]
- Wells Fargo Pledges to Contribute $1 Billion (by 2025) for Affordable Housing [Bloomberg]
- BNY Mellon Quietly Canned 5 from Bond Team [NYPost]
HEADLINES & HEADLINERS:
- Redfearn (SEC Trading and Markets): The Nexus of Equity Market Structure and Investor Relations [SEC Speech]
- SEC Announces Enforcement and Investor Education Initiatives to Protect Teachers and Military Service Members [SEC]
- Trading Exchanges in No Hurry to Erect 'Speed Bumps' [Reuters]
- Fed's Powell Signals He's Open to Rate Cut as Trump's Trade Wars Escalate [BusinessInsider]
► Powell Signals Openness to Cut if Needed Over Trade Tensions [Bloomberg]
- Cannabis Stocks Fall After FDA Hearing on CBD Finds Conflicting Views Of Substance [MarketWatch]
