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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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Financialish Journal: Fines, Sanctions & Headliners
June 11, 2018
FINES and SANCTIONS:
- SEC Charges Investment Adviser and 2 Former Managers for Misleading Retail Clients [SEC]
- France's Societe Generale Fined $1.3Bn [CBS News]
► SocGen to Pay $860Mn in Penalties Over Criminal Charges of Bribery and LIBOR Manipulation [DOJ]
► CFTC Fines SocGen $475Mn for Charges of Manipulation, Attempted Manipulation, and False Reporting of LIBOR and Euribor [CFTC]
PEOPLE & COMPANIES:
- Sarah ten Siethoff is New Associate Director of SEC Investment Management Rulemaking Office [SEC]
- Catherine Keating Appointed CEO of BNY Mellon Wealth Management [PR Newsire]
- RBC Fired Investment Banking Chief Over Affair With Staffer [Bloomberg]
- HSBC Says U.S. Unit Among `Most Challenging' Parts in Strategy [Bloomberg]
- Bank of America’s Slow Dance Sets Right Tempo [Bloomberg]
OTHER STORIES:
- SEC ALJ Denies Disqualification Of Wedbush Lawyer [BrokeAndBroker]
- Cryptocurrencies Lose $42 Billion After South Korean Bourse Hack [Bloomberg]
