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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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A Goldman Guilty Plea(?), A Deutsche Bank Merger Collapses, A Roster of New JPMorgan MDs … And Other Headlines and Headliners
- - Compiled by Howard Haykin
FINES, SANCTIONS, LEGAL ACTIONS:
- All Voya FINRA AWCs Not Relevant Except When They Are [BrokeAndBroker]
- Forex Trading Firms and Principals Operated $75Mn Fraud Involving 700 U.S. Participants [CFTC]
- U.S. Justice Staff Seek Goldman Guilty Plea in 1MDB Settlement: Financial Times [Reuters]
► Justice Department Wants Goldman Sachs to Plead Guilty in Bribery Scandal [NYPost]
PEOPLE & COMPANIES:
- Deutsche Bank-Commerzbank Merger Talks Collapse [CNBC]
► Deutsche Bank Goes Back to a Cold, Dark Place [Bloomberg]
► Germany Needs a Plan B After Deutsche Bank Deal Collapses [Bloomberg]
- Credit Suisse Ends String of Losses in Trading [Bloomberg]
► Credit Suisse Hides the Secrets of Its Success [Bloomberg]
- Morgan Stanley Shuffles Jobs For Wealth Management Executive [Reuters]
► Morgan Stanley Gives Saperstein Sole Control of Wealth, Moves O’Connor to Bank [AdvisorHub]
- JP Morgan Just Promoted 117 People to Wall Street’s Top Rank, Including Record # of Women [CNBC]
► JPMorgan to Name Record Number of Female Managing Directors [Bloomberg]
- Barclays Hit by Struggling Investment Bank, Flags Cost Cuts [Reuters]
HEADLINES & HEADLINERS:
- Bitcoin Still Taboo at JPMorgan, Goldman as Investors Pump in $14Bn [TheStreet]
- Supreme Court Backs Businesses, Curbs Class Arbitration [Bloomberg]
- Netflix Junk Bond Offering Draws Oversubscription - $6Bn of Orders (And Why is it 'Junk'?) [Bloomberg]
- SEC Agenda Set for May 31 FinTech Forum [SEC]
► SEC's Strategic Hub for Innovations and Financial Technology [SECFinHub]
- FINRA Forms Office of Financial Innovation, Announces Haimera Workie as Head [FINRA]
- This SEC Commissioner is Right: Investment Funds Shouldn’t Focus on Environmental Issues [MarketWatch]
