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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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Barclays Trader Beats Front Running Charge, FINRA Charged with Building CAT ... And Other Headlines and Headliners
March 5, 2019
FINES, SANCTIONS, LEGAL ACTIONS:
- Final Judgment Against Former Broker Who Defrauded Customers with Excessive Unsuitable Trades [SEC]
- Wells Fargo Promissory Note Victory Goes from FINRA Sublime to SEC Ridiculous [BrokeAndBroker]
- Barclays Trader Beats U.S. Prosecution in Front-Running Case [Bloomberg]
► Judge Uses Rare Move to Throw Out Case Against Barclays Trader [NYTimes]
- FINRA Arbitrators Award Ameriprise Promissory Note Damages but with Odd Statement About What Was Not Considered [BrokeAndBroker]
PEOPLE & COMPANIES:
- Nasdaq's CEO Just Threw Her Support Behind Cloud Saying She Hopes to Eventually Move Exchange There [USAOnlineNews]
- JPMorgan Nabs Lucrative Stabilization Role in Lyft IPO [Bloomberg]
HEADLINES & HEADLINERS:
- Trump Wants More 'Highly Skilled' Immigrants to Come to U.S. - But Skilled, Educated Foreign Workers Leaving the U.S. Dejected, Saying Trump Doomed Their American Dreams [BusinessInsider]
- Stock Exchanges Choose FINRA to Build CAT Database, Replacing Thesys [PIOnline]
- CRD Transformation: Enhancing the Registration & Disclosure Process [FINRA Podcast]
- Tax Refunds Give U.S. Consumers a Boost That Lasts 6 Months [Bloomberg]
- Why Crypto Companies Still Can’t Open Checking Accounts [Bloomberg]
- Widening Russia Money Laundering Scandal Hits Euro Banks [Bloomberg]
