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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
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Job Cuts at Deutsche Bank and Legg Mason, Updated NJ Data Breach Law ... And Other Fines, Sanctions, Legal Actions
- - Compiled by Howard Haykin
FINES, SANCTIONS, LEGAL ACTIONS:
- SEC Charges, Settles with Unregistered Brokers in Woodbridge Group $1.2Bn Ponzi Scheme
► Nilosek Charged for Raising >$23Mn [SEC Lit Release #24476]
► Bray Banned for Raising $10.4Mn [SEC Admin. Proceeding File #3-19173]
► Mosley Banned for Raising $13Mn [SEC Admin. Proceeding File #3-19172]
► Rondberg Banned for Raising $15.5Mn [SEC Admin. Proceeding File #3-19170]
► Costa Banned for Raising $13Mn [SEC Admin. Proceeding File #3-19171]
PEOPLE & COMPANIES:
- SEC Commissioner Peirce: Sunsets, Russets, and Rule Resets [SEC Speech]
- Bank of America Pledges to Hire at Least 10,000 Veterans, National Guard Troops, ... [BizJournals]
- Deutsche Bank CEO Speaks of ‘Tough Cutbacks’ at Contentious Shareholder Meeting [CNBC]
► Deutsche Bank CEO Pledges Tough Investment Bank Cuts as Shares Hit Low [Reuters]
► Deutsche Bank Hits Fresh Record Low; CEO Sewing Vows 'Tough Cutbacks' at AGM [TheStreet]
► Deutsche Bank Chairman Survives Vote to Remove Him from Office [Reuters]
- LPL Financial to Buy Allen & Company [Zacks]
- Legg Mason Cuts 12% of Staff in Revamp as Peltz Joins Board [Bloomberg]
HEADLINES & HEADLINERS:
- New Jersey Passes Updated Data Breach Law [CrowellMoring]
- SEC and CFTC in IOSCO Enhanced Multilateral MOU Concerning Cross-Border Enforcement [SEC]
- SEC Staff Roundtable on ST/LT Management of Public Companies, SEC's Periodic Reporting System and Regulatory Reqs [SEC]
- FINRA-Member Firms Must Register for CAT Reporting by June 27 [FINRA RegNote]
- FINRA Extends Implementation of Rule 4240, Margin Reqs for Credit Default Swaps [FINRA]
- China Just Tested Its 'Nuclear Option' in Trade War - Unloading U.S. Treasurys [BusinessInsider]
- Trump+Taxes+Deutsche Bank+Mnuchin+Barr = Cover-Up [BloombergOpinion]
- Citigroup Says Biotech Tide May Turn as Large Deals Are Shunned [Bloomberg]
- Peter Thiel-Backed Crypto Startup Pays Out 6,567% Return [Bloomberg]
