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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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'Drink Up and Be Merry' ... and other Fines, Sanctions, Headlines and Headliners (7/19)
July 19, 2018
FINES, SANCTIONS, LEGAL ACTIONS:
- Merrill Lynch Escapes Ex-Manager’s Lawsuit Over Customer Funds [AdvisorHub]
- Goldman’s 1MDB Role Is the Subject of Banker’s Plea Talks [Bloomberg]
- Morgan Stanley Broker Fined, Suspended for NSF Wires into His Personal Account [BrokeAndBroker]
PEOPLE & COMPANIES:
- BNY Mellon Falls as CEO Scharf Tells Investors to Be Patient [Bloomberg]
► BNY Mellon Reports 14% Rise in Q2 Profit [Reuters]
► BNY Mellon Says Client Losses to Hit Results Over Next Few Quarters [Reuters]
- Trump Blasts Powell’s Rate Hikes, Trespassing on Fed’s Independence [Bloomberg]
► Trump Criticizes the Fed, Breaking Another Taboo [Businessweek]
HEADLINES & HEADLINERS:
- Drink Up & Be Merry: Investing in Fine Wine Is More Lucrative Than Ever [Bloomberg]
- Blockchain Efforts Move Beyond Hype: Bank-Backed Consortium Has Completed Real-World Transactions [Bloomberg]
- Wall Street Is Suddenly Bullish on Fintech Stocks [Bloomberg]
-
SEC Adopts Final Rules and Solicits Public Comment on Ways to Modernize Offerings Pursuant to Compensatory Arrangements [SEC]
