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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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Cherry-Picking, Opioid Addiction, Amazon Investments, FX Probe Fines ... And Other Headlines and Headliners
May 17, 2019
- - Compiled by Howard Haykin
FINES, SANCTIONS, LEGAL ACTIONS:
- California Adviser Settles Cherry-Picking and Other Illegal Trade Allocation Schemes [SEC]
- Opioid Addiction on Wall Street: A Wells Fargo Employee Is Barred [BrokeAndBroker]
- FINRA Enforcement Loses Elder Abuse Claim Against Oklahoma Broker [AdvisorHub]
- Citigroup, JPMorgan Among Banks Fined $1.2Bn in FX Probe [Bloomberg]
- Deutsche Bank Had to Know of Bribes, Says Man Who Paid Them [Bloomberg]
- Former Goldman Recruit Now on Trial for Insider Trading [Bloomberg]
PEOPLE & COMPANIES:
- Buffett’s Berkshire Pegs Its Amazon Wager at $860.6 Million [Bloomberg]
- Goldman Sachs Acquires Wealth Management Firm United Capital [TheStreet]
- SEC Commissioner Peirce: Speech at George Mason Law School [SEC]
HEADLINES & HEADLINERS:
- Bitcoin Price Tanks Less Than a Day After Trading Above $8,000 Level [CNBC]
- Bitcoin Rally Masking Capital Flight from Crypto Exchanges [Bloomberg]
- Trump’s Tariffs Equivalent to One of the Largest Tax Increases in Decades [CNBC]
- Amazon's Stock Surges After Buffett's Berkshire Hathaway Discloses Value of Its Stake [MarketWatch]
- A Cornell University Crypto Professor Launching His Own Coin [Bloomberg]
- Goldman Fund Makes Record Retreat from Muni Junk Bonds Over Risk [Bloomberg]
