BROWSE BY TOPIC
- Bad Brokers
- Compliance Concepts
- Investor Protection
- Investments - Unsuitable
- Investments - Strategies
- Investments - Private
- Features/Scandals
- Companies
- Technology/Internet
- Rules & Regulations
- Crimes
- Investments
- Bad Advisors
- Boiler Rooms
- Hirings/Transitions
- Terminations/Cost Cutting
- Regulators
- Wall Street News
- General News
- Donald Trump & Co.
- Lawsuits/Arbitrations
- Regulatory Sanctions
- Big Banks
- People
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
ABOUT FINANCIALISH
We seek to provide information, insights and direction that may enable the Financial Community to effectively and efficiently operate in a regulatory risk-free environment by curating content from all over the web.
Stay Informed with the latest fanancialish news.
SUBSCRIBE FOR
NEWSLETTERS & ALERTS
FOLLOW US
Goldman’s 1MDB Settlement Offer, SEC’s ‘Capital / Segregation’ and ‘Best Interest’ Rules … And Other Headlines and Headliners
June 24, 2019
- - Compiled by Howard Haykin
FINES, SANCTIONS, LEGAL ACTIONS:
- Goldman Offered $241Mn to Settle 1MDB – Much Less than the $593Mn it Earned [Bloomberg]
- Former CEO, Pres., Chair of Wellness Center USA Pleads Guilty in Market Manipulation [SEC]
- Fired UBS Broker Celebrates Expungement of Termination Notice [AdvisorHub]
- Edward Jones Low-Balled Customer Damage Claims, Citigroup Overcharged for UITs - FINRA [AdvisorHub]
- Investors Win $3 Million from Indie Firm where Ponzi Schemer Once Worked [AdvisorHub]
- Wells Fargo Banker and Broker Loses Humpty Dumpty FINRA Arbitration [BrokeAndBroker]
PEOPLE & COMPANIES:
- Goldman, Morgan Stanley Do Better in Fed Stress Tests After 2018’s Stumble [Bloomberg]
- Deutsche Bank Questioned by Federal Reserve on 'Bad Bank' Proposal [Zacks]
► U.S. Regulators Ask Deutsche Bank to Explain 'Bad Bank' Proposal [Reuters]
HEADLINES & HEADLINERS:
- Goldman Sachs Executive Says Legacy Retail Banks are ‘Screwed’ [Bloomberg]
- SEC Adopts Capital, Margin, and Segregation Requirements for Security-Based Swap Dealers and Major Security-Based Swap Participants and Amends Capital and Segregation Requirements for Broker-Dealers [SEC] [Final Rule]
► Commissioner Peirce: On Adoption of New Rule [SEC]
