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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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Goldman $5Bn Scandal and $500Mn Lawyer ... And Other Headlines and Headliners January 8, 2019
January 12, 2019
FINES, SANCTIONS, LEGAL ACTIONS:
- Deutsche Bank Prosecutors Said to Obtain Client List in Raid Tied to Panama Papers Case [Bloomberg]
- Oppenheimer TKO'd by Stunning Stockbroker Offset in 'Employee Forgivable Loan' Arb Case [BrokeAndBroker]
- Goldman Sachs Could Be Liable for $5B in Malaysian Scandal, Twice the Original Estimate [NYPost]
PEOPLE & COMPANIES:
- Doug Ketterer’s Atria Wealth Acquires NEXT Financial Group [WealthMgmt]
- Goldman’s $500 Million Lawyer, Greg Palm, Ready to Call It Quits [Bloomberg]
- Jeff, MacKenzie Bezos Say They're Divorcing After 25 Years [Bloomberg]
- JPMorgan to Boost Bonus Pool for Stock Traders, Bankers [Bloomberg]
- Perella Weinberg Plans to Name Peter Weinberg as CEO [Bloomberg]
- Ken Griffin’s Citadel Fund Loses Star Stock Picker [NYPost]
HEADLINES & HEADLINERS:
- FINRA Updates FOCUS Supplemental Statement of Income [FINRA RegNote]
- U.S. Treasury Security Auction Awards - Transaction Reporting Requirements [FINRA]
- FINRA Investor Alert: 2019 Resolutions Reset [FINRA]
- Government Shutdown Pours Cold Water on 2019 IPO Ambitions - Especially for Small Start-Ups [CNBC]
