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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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NEWSLETTERS & ALERTS
JPMorgan Settles, HSBC Axes, FINRA Amends, Barclays Rebuilds ... And Other Headlines and Headliners
May 31, 2019
- - Compiled by Howard Haykin
FINES, SANCTIONS, LEGAL ACTIONS:
- Edward Jones, Raymond James Say Litigation Costs Likely to Soar [AdvisorHub]
- FINRA Dings Indie Broker for Taking Client Info [AdvisorHub]
- JPMorgan in Biggest-Ever Settlement with Dad Over Parenting Rights [Bloomberg]
- Massachusetts Flags Ex-Morgan Stanley Broker Fired over Email [AdvisorHub]
- Another Day. Another FINRA Regulatory Settlement. Another Case Involving Who Owns the Customer [BrokeAndBroker]
PEOPLE & COMPANIES:
- Wells Fargo Adds Charles Noski, Former BofA Exec, to Board [Reuters]
- Citigroup May Be Poised to Win in 2020, Goldman Says in Upgrade [Bloomberg]
- Robinhood’s Free Crypto Trades Powered by Chicago’s Jump Trading [Bloomberg]
- TD Bank Joins 'CEO Action for Diversity and Inclusion' in the Workplace [PR Newswire]
- CME Group Appoints New Heads of BrokerTec, EBS and Optimization Businesses [PR Newswire]
- Wesley Bricker, SEC Chief Accountant, to Leave [SEC]
► Sagar Teotia Named the SEC's Acting Chief Accountant [SEC]
- Goldman Sachs Building Digital Wealth Management Tool - Executive [Reuters]
- Barclays, In Rebuild, Chases New Growth with Bad Old Habits [Bloomberg]
- HSBC Plans Hundreds of Investment Bank Job Cuts in Cost Push [Bloomberg]
HEADLINES & HEADLINERS:
- FINRA’s Straight from the Top: Fireside Chat with Robert Cook and Bari Havlik [FINRA]
- Bond Traders Lay Roadmap to 2% Yield on 10-Year Treasuries [Bloomberg]
- Blockchain Settlement Was Slow, Costly in Trial Project [Bloomberg]
- FINRA Amends Arbitration Codes for Subpoenas, Witnesses, Production of Documents [FINRA]
- Poker-Playing Hedge Fund Managers Have an Edge ... in Investing [Bloomberg]
- Wall Street Sees a Win in SEC’s Crackdown on Broker Conflicts [AdvisorHub]
- Trump’s Trade Wars Have Cost Stock Market $5 Trillion and Counting - Deutsche Bank [CNBC]