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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 (7/16/18)
FINES, SANCTIONS, LEGAL ACTIONS:
SEC Files Charges in Busted Microcap Schemes [SEC]
NJ Broker, Who Patented Term ‘Financial Quarterback’, is Suing a Wells Advisor [AdvisorHub]
Ex-Portfolio Manager for New York's Main Pension Fund Gets 21 Months for Pay-to-Play [Bloomberg]
BOA Settles with Exec Who Says Whistleblowing Led to Bogus Sex Harassment Claims [NYPost]
SEC Halts Moddha Interactive, a Fraudulent Hi-Tech Scam [SEC]
PEOPLE & COMPANIES:
David Solomon to Replace Lloyd Blankfein as Goldman Sachs CEO - Announcement Tuesday [CNBC]
Deutsche Bank Surprises With Profit Beat Welcomed by Investors [Bloomberg]
BofA Profit Beats on Consumer Loan Growth, Lower Expenses [Reuters]
HEADLINES & HEADLINERS:
FINRA Arbitrators May Soon Get $200 Honorarium for Certain Non-Hearing Sessions [FINRA]
FINRA Handles Record Volume of Market Activity through First 6 Months of 2018 [FINRA]
BlackRock's Fink Says Clients Have Zero Interest in Crypto [Bloomberg]
