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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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DB's Solo Outlook, MS's Mortgage Securities Fine, Amended Reg NMS' New Deadline … And Other Headlines and Headliners
April 26, 2019
- - Compiled by Howard Haykin
FINES, SANCTIONS, LEGAL ACTIONS:
- Former Broker's 'In-And-Out Trading' Leads to Disgorgement and Penalties [SEC]
- Morgan Stanley to Pay $150 Million to Settle California Mortgage Securities Charges [Reuters]
- Deutsche Bank Fined $500,000 by SEC Over Hedge Fund Disclosures [Bloomberg]
- Many Rivers to Cross but Stockbroker Just Can't Find His Way Over FINRA [BrokeandBroker]
- Ex-Credit Suisse Fraudster's Victims Turn to Newspaper Ad [Bloomberg]
- Buckman, Buckman & Reid to Repay Customers $205K for Supervisory Failures Over Excessive, Unsuitable Trading [FINRA]
PEOPLE & COMPANIES:
- How BNY Mellon is Taking Marijuana Investing Mainstream [BizJournals]
- Buffett Preps Berkshire Shareholders for Soaring Stock Buybacks [Bloomberg]
- Goldman Veteran Kevin Quinn to be Named for NJ Top Economic Role [Bloomberg]
- Deutsche Bank Cuts Revenue Outlook After Merger Talks Collapse [Bloomberg]
► Deutsche Bank Focused on Solo Destiny After Commerzbank Deal Demise [Reuters]
- Nasdaq Adds Terrace in Turf War with NYSE [NYPost]
- Wells Fargo Reportedly Taps Headhunter Spencer Stuart to Find New CEO [Reuters]
HEADLINES & HEADLINERS:
- Jeopardy! Champ James Holzhauer Has Won >$1 Million—Here’s How He Keeps Winning [CNBC]
- FINRA Issued $61Mn in Fines in 2018 - Here's Where That (and Other) Money Went [FINRA]
- SEC Forms its Inaugural Small Business Capital Formation Advisory Committee [SEC]
- SEC Extends BDs' Compliance Deadline with Amended Reg NMS [ThinkAdvisor]
- Cryptocurrencies Shed $10 Billion in an Hour on Worries Over ‘Stablecoin’ Tether [CNBC]
- Trump White House Seeks New Power Over Agencies [Bloomberg]
- Finance Firms Hiring in These Cities Following Global Cuts [Bloomberg]
