- - 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]