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- 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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'Fat Finger' Trades, Goldman's Marcus Exec to Leave, Barclays Traders Get Jail Time … And Other Headlines and Headliners
April 2, 2019
Compiled by Howard Haykin
FINES, SANCTIONS, LEGAL ACTIONS:
- Ex-Husband Says Ex-Wife and Stockbroker Looted Insurance Proceeds From Joint Account [BrokeAndBroker]
- Ex-Barclays Euribor Traders Jailed for as Long as 5 Years [Bloomberg]
- Trump Federal Reserve Nominee Stephen Moore was Held in Contempt for Shorting Ex-Wife on Over $300K for Child Support, Alimony, Divorce [CNBC]
- SEC Shuts Down Investment Advisor Who Defrauded Israeli-American Community [SEC]
PEOPLE & COMPANIES:
- Schwab CEO Walt Bettinger Paid $15.6 Million for 2018 [AdvisorHub]
- Goldman Sachs Loses Chief Product Officer Michael Cerda at Marcus Online Bank [Reuters]
- Google AI Ethics Council Falling Apart After a Week [Bloomberg]
HEADLINES & HEADLINERS:
- Zombie Crypto Stocks Resurface as Bitcoin Extends Recent Gains [Bloomberg]
- The Neutral Corner: Newsletter for FINRA Arbitrators and Mediators [FINRA]
- Lyft Tanks Below IPO Price on 2nd Day of Trading [CNBC]
- Trump White House Granted About 25 People Security Clearances Over Officials' Objections - Whistleblower [CNBC]
- More Financial Advisors Using Insurance Products to Boost Fixed Income for Clients [CNBC]
- ETF Tax Dodge ('Heartbeat' Trades) is Wall Street’s “Dirty Little Secret” [Bloomberg]
- What Are Fat Fingers and Why Don’t They Go Away? [Bloomberg]
- SEC Investor Education: Are You Prepared for Your Financial Future? [SEC]
