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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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Brian Stern Is Cetera’s New General Counsel
Brian Stern was recently appointed general counsel of Los Angeles-based Cetera Financial Group, a network of independent financial firms, as part of the continuing changes at both Cetera and Stern’s former firm, HD Vest. Stern replaces Nina McKenna, who has been transitioning out of the organization since late last year. Stern was previously general counsel and corporate executive at HD Vest Financial Services, which was recently purchased by Blucora, a provider of technology financial services.
Prior to HD Vest, Stern had served as:
- Senior Company Counsel at Wells Fargo (2004-2011)
- Counsel to SEC Commissioner Glassman (2002-2004)
- Associate General Counsel at AIG /American General Financial Group (1999-2001)
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