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TRENDING TAGS
Stories of Interest
- 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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Daily Journal: Fines, Sanctions, People, Firms & Headliners (6.12)
June 12, 2018
FINES and SANCTIONS:
- Merrill Lynch Settles with SEC Over Failure to Supervise RMBS Traders [SEC]
- New York Top Court Narrows Martin Act In $11Bn Credit Suisse Case [Reuters]
- FINRA Suspends Stockbroker For Reimbursing Customer Options Losses [BrokeAndBroker]
- CFTC Charges Fl-Based Mark Olsen Mining and Betty Lea Grimes with Illegal, Off-Exchange Precious Metals Transactions [CFTC]
PEOPLE and COMPANIES:
- Kellyanne Conway's Husband Defends Mueller Probe, Criticizes Trump [SEC]
- Credit Suisse Cutting Senior Investment Banking Jobs - Mostly in UK [Bloomberg]
- Deutsche Bank's Global Co-Head of Institutional Clients Leaves [Bloomberg]
OTHER HEADLINERS:
- Millennials Dumping Individual Stocks And Flocking To ETFs - Schwab [CNBC]
- Fund Managers Pouring $$$ Into U.S. Stocks [CNBC]
- You Think It's Your Friend Calling, But It's Actually This Growing Phone Scam [CNBC]
- SEC Speech: Stock Buyouts and Corporate Cashouts (Commissioner Jackson) [SEC]
