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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 (7/12)
July 12, 2018
FINES, SANCTIONS, LEGAL ACTIONS:
- Ex-Ameriprise Broker Seeks to Vacate FINRA Panel’s ‘Note’ Award [AdvisorHub]
- Ex-Barclays Trader Found Guilty of Euribor Rigging [Bloomberg]
- Cut, Pasted, Traced, Signed, Sealed, Delivered . . . And Suspended by FINRA [BrokeAndBroker]
- Commodity Trading Firm Fined $3.4Mn for Attempted Manipulation of Agricultural Markets [CFTC]
- Court Grants Partial Summary Judgment in Fraudulent Offering Case vs. Alabama Attorney [SEC]
PEOPLE & COMPANIES:
- Trading App Robinhood Adds 2 New Cryptocurrencies Despite Bear Market [CNBC]
- Ex-CFPB Deputy Raj Date to Guide Crypto Firms Through Regulatory Thicket [Bloomberg]
HEADLINES & HEADLINERS:
- SEC Chair Clayton Speech: Establishment of Task Force on Market Integrity and Consumer Fraud [SEC]
- Bank Earnings Are Expected to Shine, But Their Stocks May Not [MarketWatch]
