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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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Brokers v. Big Broker-Dealers, SEC Regulation of ICOs ... And Other Headlines and Headliners
May 13, 2019
- - Compiled by Howard Haykin
FINES, SANCTIONS, LEGAL ACTIONS:
- E*Trade Fails to Handcuff Broker Who Joined Morgan Stanley [AdvisorHub]
- Ex-UBS Broker Loses Bid to Avoid Paying Notes Balances [AdvisorHub]
- FINRA Arbitrators Slam JPMorgan Over Defamatory Termination [BrokeAndBroker]
- 5 OBAs, 2 PSTs, $15,000 Fine And 10 Month Suspension In 1 FINRA AWC [BrokeAndBroker]
PEOPLE & COMPANIES:
- SEC Commissioner Peirce: Regulation of ICOs, or 'How We 'Howey' [SEC Speech]
- Goldman Sachs Nears Deal to Buy United Capital Financial Advisors [Reuters]
- Morgan Stanley Got Clients into Uber. Then the IPO Stumbled [Bloomberg]
- Deutsche Bank Talks with UBS on Asset Management Deal Reportedly Stall [Reuters]
HEADLINERS & HEADLINES:
- FINRA: What to Expect When Your Broker Leaves [FINRA]
- FINRA InfoNote - Understanding Short Sale Volume Data on FINRA’s Website [FINRA]
- Princeton Looks to Break Up the White Male Money Monopoly (In Its $26Bn Endowment) [Bloomberg]
- 62% of Millennials Say They’re Living Paycheck to Paycheck [CNBC]
► Half of Millennials Say Social Media Drives Them to Spend Money They Don’t Have [CNBC]
