BROWSE BY TOPIC
- Bad Brokers
- Compliance Concepts
- Investor Protection
- Investments - Unsuitable
- Investments - Strategies
- Wall Street News
- Investments - Private
- Rules & Regulations
- Bad Advisors
- Boiler Rooms
- Terminations/Cost Cutting
- General News
- Donald Trump & Co.
- Regulatory Sanctions
- Big Banks
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
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.
Stay Informed with the latest fanancialish news.
NEWSLETTERS & ALERTS
SEC's Scott Friestad Passes Away
Scott Friestad, who had served as Associate Director in the the SEC Enforcement Division since 2005, passed away Wednesday, April 4. The cause of death was cancer, a disease Scott had fought with great strength and grace.
Prior to joining the SEC, Scott was a litigator for six years at Dewey Ballantine in New York. He received both his undergraduate and law degrees from the University of Iowa.
In his 22-year career at the Commission, Scott achieved great success, including earning the Commission’s highest award for service to America’s investors and leading some of our most important enforcement actions. Scott’s success and impact went far beyond awards and victories. He was happiest when his team members did well, both in results and in approach. Scott was committed to enforcing our securities laws with due process to all and always with an eye toward the Commission’s role in protecting and enhancing our capital markets. His integrity, leadership and dedication are an enduring legacy.
Scott leaves behind a wonderful family – his wife Kimberly and his sons Thomas and Wilson – whom he loved dearly. Our thoughts and prayers are with them and we thank them for sharing Scott with us. Scott also leaves behind countless current and former colleagues whose careers and lives are much better for having known Scott.
Thank you, Scott.