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- Sarah ten Siethoff is New Associate Director of SEC Investment Management Rulemaking Office
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- 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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Barclays Cuts, State Street Slides, UBS and DB Talk, Pretty Hurts … And Other Headlines and Headliners
April 23, 2019
- - Compiled by Howard Haykin
FINES, SANCTIONS, LEGAL ACTIONS:
- Microcap Fraudster Ran Pump-and-Dump Scheme [SEC]
- Charter Capital Mgmt and Principal Sanctioned Over Due Diligence and Conflicts [SEC]
- SEC Halts Misappropriation and Fraudulent Securities Offering [SEC]
- FINRA Arbitrators Dismiss Customer Claims Involving Stanford International Bank CDs [BrokeAndBroker]
- FINRA Bars Broker Who Wouldn’t Cooperate in Personal Mail Probe [AdvisorHub]
- Raymond James Resolves Class-Action Suits Alleging Hidden Commissions: Court Filing [AdvisorHub]
PEOPLE & COMPANIES:
- Jefferies Backs Stonyrock Partners, Which is Led by Ex-Blackstone, Carlyle Execs [Bloomberg]
- Franklin Resources Plans Cuts of Up to 5% of Workforce to Reduce Costs [Bloomberg]
- Barclays to Cut Investment-Bank Bonuses as Activitist Investor Bramson Looms [Bloomberg]
- State Street Slides After Q1 Quarter Profit Tumbles [TheStreet]
- State Street Executive Pay Too High - Banking Analyst Mike Mayo Warns Shareholders [CNBC]
- UBS, Deutsche Bank Talking Asset Management Merger [Reuters]
HEADLINES & HEADLINERS:
- Stock Market Records for S&P 500 and Nasdaq, Ending Months-Long Drought [MarketWatch]
- Patagonia ‘Power Vests’ with Goldman Sachs and JPMorgan Logos Selling for $200 on eBay [MarketWatch]
- Pretty Hurts (Women’s Careers) [NYTimes]
