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Wall Street News

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]