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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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Wells Fargo in Brand Makeover, Deutsche Bank Branded Over 'Money Laundering' ... And Other Headlines and Headliners
January 28, 2019
FINES, SANCTIONS, LEGAL ACTIONS:
- Deutsche Bank Questioned by GOP Lawmaker About Money Laundering [Bloomberg]
- 85-Year-Old Man Loses $74Mn in Gold Scam [Bloomberg]
- Innocent Stockbroker Lost in Never-Neverland Wins FINRA Expungement [BrokeAndBroker]
- FINRA Orders New Jersey Firm to Pay $470K for UIT Violations [FINRA]
PEOPLE & COMPANIES:
- Wells Fargo Launches Brand Makeover [Barron's]
- Liz Warren to Wells Fargo - Fire CEO Tim Sloan [MarketWatch]
- Raymond James Acquires Silver Lane Advisors, An Investment Bank, [WealthManagement]
- Citadel's Ken Griffen Buys $238Mn Home in U.S. (Most Expensive in History) [NYPost]
- UBS Plans Bonus Cuts of as Much as 20% in Wealth Business [Bloomberg]
HEADLINES & HEADLINERS:
- TRACE Reporting of OTC Transactions in Listed Bonds [FINRANotice]
- Market Volatility Drives FINRA’s Volume to New Record in 2018 [FINRA]
- Goldman CEO David Solomon Sees Robust Underwriting Calendar in 2019 [Bloomberg]
- Bitcoin Is Worth Less Than Cost to Mine It - JPMorgan [Bloomberg]
- Goldman Sachs, Morgan Stanley Ask Counterparties to CXL Trades After $41Bn Flash Crash [Bloomberg]
- FINRA Launches New Initiative for Member Firms to Self-Report 529 Savings Plan Violations [FINRA]
