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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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Financial Stocks Crash, Big Payday at DB and CS, FINRA Sees Budget Gap … And Other Headlines and Headliners
March 22, 2019
FINES, SANCTIONS, LEGAL ACTIONS:
- Merrill Lynch to Pay Over $8Mn for Improper Handling of ADRs [SEC]
- Edelman Financial Services Loses Non-Solicit Non-Disparagement Case [BrokeAndBroker]
- Citigroup Ousts 8 Traders After Stocks Misconduct Probe [Bloomberg]
-
State Street Sued by Ex-Employees Over Discrimination, ‘Boston Club’ Culture [BizJournal]
PEOPLE & COMPANIES:
- Wells Fargo in Talks with Ex-Goldman CFO Harvey Schwartz to be Next CEO [NYPost]
- BlackRock to Buy French Software Firm eFront for $1.3Bn in Cash [Reuters]
- Credit Suisse Boosts Thiam's Pay 30% After Flip to Profit [Bloomberg]
- Deutsche Bank Chief Paid $8Mn as Top Bosses Gain 1st Bonuses for 4 Years [Reuters]
- JPMorgan to Use Games, Not Visits, in Investment-Bank Recruiting [Bloomberg]
-
Warren Buffett Offers $1Mn/Year for Life in 'March Madness' Office Pool [CNBC]
HEADLINES & HEADLINERS:
- FINRA 2019 Annual Budget Summary [FINRA]
► FINRA Projects Widening Budget Gap [AdvisorHub]
- SEC's Cellupica Speech at PLI Investment Management Institute [Dep'y Director, Chief Counsel, Invest. Mgmt [SEC]
- Financial Stocks in Broad Selloff Again, As Treasury Yields Fall [MarketWatch]
-
SEC Rule 15c2-11(a)(4): FINRA Reminds Firms of Their Obligations [FINRA RegNote]
-
Powerball Jackpot Jumps to $625Mn. Here's the Tax Bite if You Win [CNBC]
