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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 (8/13)
August 13, 2018
FINES, SANCTIONS, LEGAL ACTIONS:
- SEC Charges Recidivist for Manipulating 3 Microcap Stocks [SEC]
- Customer, 93, with Dementia, The Guardian, The Stockbroker, And The Compliance Officer [BrokeAndBroker]
- You Owe Me! A Referral Fee FINRA Arbitration Battle [BrokeAndBroker]
- NYSE Charges Kickback Scheme Involving Quattro M Securities Ex-Floor Broker [NYSE]
► NYSE Charges Quattro with Systemic Failure to Supervise [NYSE]
- Wells Fargo Discloses Tax-Credit Probe, Accidental Foreclosures [Bloomberg]
PEOPLE & COMPANIES:
- Stephanie Cohen Joining Goldman’s Most Elite Tier - Its Management Panel - As Youngest Banker [Bloomberg]
- RBS Lays Out Plan to Resume Dividends a Decade After Bailout [Bloomberg]
- Goldman to Name Jim Esposito as Global Co-Head of Trading [Bloomberg]
HEADLINES & HEADLINERS:
- FINRA Investor Alert: What You Need to Know About IRAs [FINRA]
- Advance-Fee Frauds Keep Dropping the FINRA Name in ‘Regulator’ Imposter Ploys [FINRA]
- CFTC Announces Multiple Whistleblower Awards Totaling >$45M [CFTC]
- Banker Bonuses Expected to Increase Except in Advising [Bloomberg]
- Money Managers Seeking Shelter in the Riskiest Parts of CLOs [Bloomberg]
