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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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Goldman Sued for Discrimination, Wells Fargo May Keep Interim CEO Permanently … And Other Headlines and Headliners
June 6, 2019
- - Compiled by Howard Haykin
FINES, SANCTIONS, LEGAL ACTIONS:
- Goldman Sued by Gay Vice President Claiming Discrimination [Bloomberg]
- SEC Charges Issuer with Conducting $100 Million Unregistered ICO [SEC]
- Courts Affirm FINRA Award Via Virtual Naming of John Does in Customer Arbitration [BrokeAndBroker]
- Wells Fargo Broker Prevails Against Morgan Stanley’s Bid for Restraining Order [AdvisorHub]
- SEC Files 4th Subpoena Enforcement Against Einstein Investments in Possible Market Manipulation Scheme [SEC]
- SEC Adds Fraud Charges Against Purported Cryptocurrency Company Longfin, CEO, and Consultant [SEC]
PEOPLE & COMPANIES:
- Wells Fargo Pledges $1 Billion (by 2025) for Affordable Housing in Philanthropic Push [Bloomberg]
- Bank of New York Mellon Quietly Canned 5 from Bond Team [NYPost]
- Wells Fargo May Keep Interim CEO Allen Parker Permanently [NYPost]
HEADLINES & HEADLINERS:
- SEC Chair Clayton: Keynote Remarks at the Mid-Atlantic Regional Conference [SEC]
- SEC Chair Clayton: Statement at the Open Meeting on Commission Actions to Enhance and Clarify the Obligations Financial Professionals Owe to our Main Street Investors [SEC]
- SEC Commissioner Jackson: Statement on Final Rules Governing Investment Advice [SEC]
- Statement Regarding the SEC’s Rulemaking Package for Investment Advisers and Broker-Dealers [SEC]
- SEC's Martha Miller: 19th Amendment Lessons for 2019’s Advocates: Remarks to Nat'l Associ. of Women Business Owners [SEC]
