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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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Fines, Sanctions, Headlines & Headliners (6/29)
June 29, 2018
FINES, SANCTIONS, LEGAL ACTIONS:
- The Elderly Wife, The Husband, And the Transfer on Death Account [BrokeAndBroker]
- The Double Edged Sword of Facts and a FINRA Expungement [BrokeAndBroker]
- Bayes Capital Files BDW and is Fined $300K After Repeatedly Violating Reg. SHO [SEC]
- Somebody's Got to Pay and FINRA Arbitrator Says It's Scottrade [BrokeAndBroker]
PEOPLE & COMPANIES:
- Securities America CEO Jim Nagengast Elected to FINRA Board of Governors [FINRA]
- Goldman Sachs, Morgan Stanley Thumped on Fed Stress Tests - Other Big Banks are Winners [CNBC]
► Deutsche Bank Fails Fed Stress Test, While Goldman, Morgan And State Street Stumble [CNBC]
- Another Top Exec Leaves Guggenheim Partners [NYPost]
- Why Deutsche Bank Can’t Just Shake Off Its Problems [BusinessWeek]
OTHER HEADLINES & HEADLINERS:
- SEC and CFTC Announce Approval of New MOU [SEC]
- SEC Proposes New Approval Process for Certain ETFs [SEC]
- FINRA Updates the OTCBB/OTC Equities High Price Dissemination List [FINRA]
- SEC Celebrates Lesbian, Gay, Bisexual and Transgender Pride Month [SEC]
