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TRENDING TAGS
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- 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 (7/17)
July 17, 2018
FINES, SANCTIONS, LEGAL ACTIONS:
- RIA Managing Director Fined by SEC, Dumped as Company Director, For Not Disclosing Loan to CEO [SEC]
- SEC Charges Asset Manager for Stealing Client Assets and Due Diligence Failures [SEC]
- 87 Year Old Stifel Nicolaus Customer, His Stockbroker, And 33 Blank Account Checks [BrokeAndBroker]
PEOPLE & COMPANIES:
- As Wells Fargo Bleeds Advisors, Merrill Gains [Barrons]
- Goldman Sachs Shares Sink on Weak Stock Trading Results [NYPost]
- Blankfein Poised for $85Mn Payout Upon Leaving Goldman [Bloomberg]
- Goldman Carving Out Less Revenue for Banker Bonuses [Bloomberg]
- Jeff Bezos Net Worth Tops $150Bn - Richest Man in Modern History [Bloomberg]
- Scaramucci's Path to $20 Billion Runs Through a Hot China Market [Bloomberg]
HEADLINES & HEADLINERS:
