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- SEC Names Valerie Szczepanik Senior Advisor for Digital Assets and Innovation
- SEC Modernizes Delivery of Fund Reports, Seeks Public Feedback on Improving Fund Disclosure
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- 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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DB Equities Unit Loses $750Mn, Big Bank Stress Test Relief ... And Other Headlines and Headliners
March 7, 2019
Compiled by Howard Haykin
FINES, SANCTIONS, LEGAL ACTIONS:
- New York Authorities Subpoena Trump Organization's Insurer in Big Probe into Business Practices [CNBC]
- Mass. Advisor Pleads Guilty to Diverting Millions from Investors [SEC Administrative]
- Pro Se Stockbroker Wins FINRA Expungement of Customer Complaint that Merrill Settled [BrokeAndBroker]
- Former Credit Suisse Broker Wins Sliver of His $6.8Mn Pay Claim [AdvisorHub]
- BNP Broker Suing for Harassment Found Witch's Hat on Desk [Bloomberg]
- 'Down Under’ Investment Adviser Goes Down [SEC Litigation]
PEOPLE & COMPANIES:
- Michael Bloomberg Will Not Run for President in 2020 [CNBC]
- Goldman Sachs’ New “Flexible” Dress Code Not as Easygoing as it Sounds [Quartz]
- UBS Promotes 96 People in the Americas to Managing Director [Bloomberg]
- Hapoalim Sets Aside Another $246 Million for U.S. Tax Probe [Bloomberg]
- Deutsche Bank Equities Unit Lost $750Mn in 2018 [Bloomberg]
► Deutsche Bank Is Making Deep Cuts to 2018 Bonuses [Bloomberg]
- BNY Mellon Shelves Tighter Work-at-Home Rules After Staff Uproar [Bloomberg]
- MarketAxess to Aggressively Seek New Acquisitions [NYPost]
- SEC Commissioner Hester Peirce: Speech to Institutional Investors [SEC]
HEADLINES & HEADLINERS:
