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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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ATS Supervision Obligations ... and Other Fines, Sanctions, Headlines & Headliners
August 14, 2018
FINES, SANCTIONS, LEGAL ACTIONS:
- 10-Year Employee Forgivable Loan Battle Frustrates UBS [BrokeAndBroker]
- UBS Calls Offsides on Altanta Broker Specializing in Pro Athletes - Source [AdvisorHub]
- Fired Merrill HR Manager in Ohio Wins Defamation Claim [AdvisorHub]
- Ex-Investment Advisor to Pay $1.6Mn to Settle SEC Conflict of Interest Charges [SEC]
► Ex-RIA COO Settles SEC 'Aiding and Abetting' Charges [SEC]
- Ex-Goldman Sachs MD Sues for $50Mn [BizJournal]
► Goldman Trader Claims Kafkaesque Firing Over `Notorious' Client [Bloomberg]
- Where There's a Will, FINRA Says No Way! [BrokeAndBroker]
PEOPLE & COMPANIES:
- Einhorn’s Greenlight Capital down 18% for 2018 [NYPost]
- Deutsche Bank Ratings Cut by Moody’s [Bloomberg]
HEADLINES & HEADLINERS:
- FINRA Reminds ATSs of Obligations to Supervise Activity on Their Platforms [FINRA]
- FINRA Amends Security Futures Risk Disclosure Statement [SEC]
- Private Banks Are the New Hedge Funds [Bloomberg]
- Short Sellers Are Getting Torched for Billions: Taking Stock [Bloomberg]
- Index Funds and Buybacks are Fueling Market Rally - Jim Cramer [TheStreet]
