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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 Trading Rainmaker, Ex-NBA Star’s Bankruptcy, Bitcoin’s Precipitous Dive … And Other Headlines and Headliners
July 2, 2019
- - Compiled by Howard Haykin
FINES, SANCTIONS, LEGAL ACTIONS:
- RIA Failed to Disclose Conflicts and Personally Used $500K of Investor Funds [SEC]
- Two Individuals Charged with Fraud and for Issuing Unregistered Sale of Securities [SEC]
- Up-And-Coming Consultant Blows Career Over $11K in Illicit Profits from Insider Trading [SEC]
- $2 Million In Wrongful Termination Case [BrokeAndBroker]
PEOPLE & COMPANIES:
- Can Goldman’s Trading ‘Rainmaker’ Bring Back the Glory Days? [Bloomberg]
- Bankrupt Ex-NBA Star Says He Should've Listened to His Financial Advisor [ThinkAdvisor]
- Deutsche Bank Explores Selling Unwanted Assets as Part of Revamp [Bloomberg]
- Credit Suisse Wealth Mgmt Boss Iqbal Khan Quits in Pursuit of Top Job [Reuters]
HEADLINES & HEADLINERS:
