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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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Buffett Debunks Leverage, BofA as Financial Services Leader, Morgan Stanley and Uber, Lyft IPOs … And Other Headlines and Headliners
April 9, 2019
Compiled by Howard Haykin
FINES, SANCTIONS, LEGAL ACTIONS:
- NJ Investment Advisor Who Got 8-Year Sentence for Defrauding Clients Gets Barred [SEC]
- Ex-LPL Broker Suspended for Selling “Life-Settlement” Insurance Investment [AdvisorHub]
- NY State Probing Berkshire Hathaway-Owned Insurance Firm [NYPost]
- Defendants to Pay >$2.7Mn in Connection with Commodity Pool Fraud [CFTC]
- Radio Talk Show Host Gest 42 Months in Parallel Criminal Case Involving Ticket Resale Investment Scheme [SEC]
PEOPLE & COMPANIES:
- Bank of America Reborn as a Financial-Services Leader [InvestorPlace]
► Bank of America Raising Minimum Wage for Employees to $20 An Hour [CNBC]
► Bank of America Ramps Up Branch Modernization [Reuters]
- Wells Fargo Deals Retirement Unit to Principal Financial for $1.2Bn [Reuters]
- Nomura CRO, Senior Traders Exit, as Firm's Overhaul Will Lead to 150 Job Cuts [Bloomberg]
- Morgan Stanley Wins Stabilization Role for Uber IPO [Bloomberg]
► Lyft Accuses Morgan Stanley of Supporting Short-Selling [CNBC]
- Deutsche Bank Open to U.S. Revamp in Merger Talks [Reuters]
► Regulators Demand Deutsche, Commerzbank Outline Layoff Plans [EuroNews]
- Rob Sweeney, Goldman Sachs' Investment Bank Consumer, Retail Group Head, to Step Down [Reuters]
- Wells Fargo Should Look Beyond Wall Street for Next CEO - Warren Buffett [TheStreet]
- Here’s How Citadel, Point72 Fared Against Multi-Strategy Peers [Bloomberg]
- JPMorgan’s Wealth Target: 6,500 Advisors by Year-End [AdvisorHub]
- Dimon Weighed Presidential Run for Much of 2018 - Report [Bloomberg]
- Tradeweb Markets Inc. Jumps in Debut After 2019's Second-Biggest U.S. IPO [Bloomberg]
HEADLINES & HEADLINERS:
- Buffett: Only Way Smart People Can Get Clobbered is with Leverage [GuruFocus]
- Major Study Debunks Myth that Moderate Drinking Can Be Healthy [Reuters]
- New SEC Campaign Educates Investors on Where and How to Get Answers [SEC]
- Fed Proposes Rules to Lower Liquidity Requirement for Some Foreign Banks [MarketWatch]
- Bank CEOs Should Prepare for Bashing from Congress, Analysts Say [Bloomberg]
- Morgan Stanley: Wall Street Wrong - There Will Be an Earnings Recession This Year [Bloomberg]
- FINRA Encourages Member Firms and Other to Join its Committee and Boards [FINRA]
- Token Sales Have Some Rules Now - Matt Levine [Bloomberg]
- Bank Earnings Preview: The Fed’s Moves Squeezing Profits Once Again [MarketWatch]
- A Jobs Warning for All of Europe’s Bankers [Bloomberg]
- U.S. Bank Executives Say Wall Street Has Reformed, Though Crisis Scars Linger [Reuters]
