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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 (6.15)
June 15, 2018
FINES, SANCTIONS, LEGAL ACTIONS:
- FINRA Disciplinary Actions for June 2018 [FINRA]
- Wells Fargo Receives Final Approval to Settle $142 Million Lawsuit [Reuters]
- Citigroup to Pay $100 Million to Settle Libor Rate-Rigging Charges [Bloomberg]
-
WA State Investment Adviser to Pay $1.3Mn for Defrauding Fund Investors [SEC]
PEOPLE and COMPANIES:
- Citigroup Outpaces Its Rivals in the Game of Risk [Bloomberg]
- Merrill Considers Lifting Ban on Commission-Based Retirement Accounts [WSJ - subscription reqs]
- Ex-Trump Campaign Boss Paul Manafort Sent to Jail, Judge Revokes Bail [CNBC]
- This German Fintech May Soon Be More Valuable Than Deutsche Bank [Bloomberg]
OTHER HEADLINERS:
- Bitcoin Prices Fall 1.3% to $6,550 [Coindesk]
