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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 Women in 14-Year Fight, BofA in NYC Concentration Mode, Gary Cohn Into Blockchain … And Other Headlines and Headliners
June 12, 2019
- - Compiled by Howard Haykin
FINES, SANCTIONS, LEGAL ACTIONS:
- Goldman Women in 14-Year Discrimination Fight Resist Arbitration [Bloomberg]
- CT Broker and Investment Adviser Convicted On 21 Counts of Fraud and Money Laundering [SEC]
- FINRA Arbitrator Denies Expungement for Legally Meritless Customer Complaints [BrokeAndBroker]
- Ex-Morgan Stanley Manager Ousted After Broker Arrest Clears His Record [AdvisorHub]
- Morgan Stanley Sues Former Atlanta Wealth Manager Who Oversaw $177Mn of Client Assets (AtlantaBusChronicle]
- Comerica Securities Tells Suing Customers It Ain't Me, Babe [BrokeAndBroker]
PEOPLE & COMPANIES:
- Crypto Tycoon, Justin Sun, Explains Why He Paid $4.6 Million for Lunch with Warren Buffett [TheStreet]
- Branchless Bank Chime Quadrupled Its Customer Base to 4 Million in a Single Year [CNBC]
- Deutsche Bank Grapples with Capital Raising to Pay For Cuts [FT - subsc reqd]
- Wells Fargo’s CEO Search is Another Knock Against Its Board [Barron's]
- Bank of America Plans to Concentrate Manhattan Staff at Midtown Hub [Bloomberg]
► Bank of America to Concentrate New York City Presence in Midtown [BusinessWire]
- FHFA, Fannie-Freddie Regulator, Asks Congress to Help End U.S. Control [Bloomberg]
- Gary Cohn-Backed Blockchain Startup Raises $23 Million in Project Funds [Bloomberg]
HEADLINES & HEADLINERS:
- JPMorgan’s Daniel Pinto: ‘If you don’t invest in technology, you will be priced out’ [MarketWatch]
- SEC Updates List of Firms Using Inaccurate Information to Solicit Investors [SEC]
- Another Major Wall Street Bank Says There Will Be No Rate Cut Soon, Despite What Market Wants [CNBC]
- Robots Will Manage Over $1 Trillion Soon [Investopedia]
- Morgan Stanley, Citi Sound Warning Bell on Trading Slowdown [Bloomberg]
- Regulators Alarmed by Risky Loans, But Don’t Know Who Holds Them [Bloomberg]
- Durant’s Injury Rocks NBA Teams Poised to Dangle $160 Million [Bloomberg]
- SEC to Hold 2019 Government-Business Forum This August in Omaha [SEC]
- One Dead After Helicopter Crash-Lands on Roof of Midtown Manhattan Building [CNBC]
