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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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HSBC's Money Laundering Scandal, Murky Waters for SEC's Reg. BI … And Other Headlines and Headliners
June 25, 2019
- - Compiled by Howard Haykin
FINES, SANCTIONS, LEGAL ACTIONS:
- Founder of Bankrupt Advisory Firm Charged with Misappropriating $2.6Mn [SEC]
- SEC Obtains Final Judgment Against Defendant in Hedge Fund Fraud Scheme [SEC]
- Court Of Appeal Vacates Morgan Stanley Elder Abuse Award In Troubling FINRA Arbitration [BrokeAndBroker]
- Ex-Morgan Stanley Banker Wins $1.6 Million Bonus in Lawsuit [Bloomberg]
- Fraudster Loses to SEC But Beats Clock on Penalties [BusinessWeek]
- Worldwide Markets Ltd., An Unregistered Security-Based Swaps Broker, Defrauded Retail Customers [SEC]
- Fraud Targeted Vietnamese-American Community [SEC]
- Morgan Stanley Wins Temp. Restraining Order vs. Atlanta Broker [AdvisorHub]
- HSBC's Money Laundering Scandal [Investopedia]
PEOPLE & COMPANIES:
- SEC Names Vanessa Countryman to Lead the Office of the Secretary [SEC]
- Jess Ravich, Alt Products Head, Leaves TCW Group Under Cloud of Sexual Harassment Lawsuit [InstitutionalInvestor]
► Top Wall Street Executive, Accused of Sexual Harassment, Departs TCW [NYTimes]
HEADLINES & HEADLINERS:
- Goldman Sachs: Value Investing Still Alive If You Play It with This Twist [CNBC]
- Fed’s Kaplan: 'Too Early’ to Decide if Interest Rates Need to be Cut [CNBC]
- Financial Prosperity Eludes Many Americans Despite Growing Economy and Declining Unemployment [FINRA]
- Another Reason Behind Bitcoin’s 200% Rise This Year - It’s Got Nothing to Do with Facebook [CNBC]
- Rep. Waters Seeks to Block SEC Regulation Best Interest [ThinkAdvisor]
- Facebook Is in Talks to Lease Space at NYC’s Hudson Yards Skyscraper [Bloomberg]
