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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's Hugely Profitable Uber Investment, CBOE and NYSE Disciplinary Actions, Fidelity's Near-Term Crypto Trading ... And Other Headlines and Headliners
May 7, 2019
- - Compiled by Howard Haykin
FINES, SANCTIONS, LEGAL ACTIONS:
- CFPB Sues 2 Large Credit-Repair Firms, Alleging Unlawful Fees and Deceptive Practices [CNBC]
- CBOE Disciplinary Actions: April 23 ... April 4 ... April 3
- NYSE/NYSE Arca Disciplinary Actions: April 22 (A) ... April 19 (A) ... April 4 (N)
- Principals of Binary Options Trading Firm Committed $4.8Mn Fraud [CFTC]
- Binary Options Firm and Principals Ordered to Pay >$22Mn for Fraudulent Scheme [CFTC]
- FINRA Censures, Fines Firm Over Supervision Of Watch and Restricted Lists [BrokeAndBroker]
- Ex-Goldman Banker Extradited to U.S. to Face 1MDB Charges [NYPost]
► Ex-Goldman Banker Ng Pleads Not Guilty to 1MDB Charges [Reuters]
- Ex-Broker at Alexander Capital is Barred, Ordered to Pay $650K in Fines, Penalties and Disgorgement [SEC]
- Jefferies Wins FINRA Arbitration Injunction Against Criticism and Adverse Comments [BrokeAndBroker]
- Morgan Stanley Sues $800K Producer Who Joined Janney Montgomery [AdvisorHub]
-
UBS Faces Tax Evasion Charges by German Prosecutors [Reuters]
PEOPLE & COMPANIES:
- Goldman Lost Out on Uber IPO, But to Make 12,000% on its Investment [Bloomberg]
- Harvard Piles into Hedge Funds as New Chief Overhauls Endowment [Bloomberg]
- Co-CEO of Bridgewater, Eileen Murray, Contacted About Wells Fargo Top Job [CNBC]
- Fidelity Reportedly About to Offer Cryptocurrency Trading for Pros Within Few Weeks [CNBC]
HEADLINES & HEADLINERS:
- Agenda for Upcoming FINRA Board Meeting [FINRA]
- The No. 1 Job Billionaires and Multimillionaires Held Before They Got Filthy Rich [MarketWatch]
- Game of Thrones’ Gaffe: Coffee Cup Left in Final Cut of Episode 4 [CNBC]
