BROWSE BY TOPIC
- Bad Brokers
- Compliance Concepts
- Investor Protection
- Investments - Unsuitable
- Investments - Strategies
- Investments - Private
- Features/Scandals
- Companies
- Technology/Internet
- Rules & Regulations
- Crimes
- Investments
- Bad Advisors
- Boiler Rooms
- Hirings/Transitions
- Terminations/Cost Cutting
- Regulators
- Wall Street News
- General News
- Donald Trump & Co.
- Lawsuits/Arbitrations
- Regulatory Sanctions
- Big Banks
- People
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
ABOUT FINANCIALISH
We seek to provide information, insights and direction that may enable the Financial Community to effectively and efficiently operate in a regulatory risk-free environment by curating content from all over the web.
Stay Informed with the latest fanancialish news.
SUBSCRIBE FOR
NEWSLETTERS & ALERTS
FOLLOW US
JPM's Possible Successors for Dimon, DB's $20Bn Laundering Issue, Citi's Relaxed Stance on Pot … And Other Headlines and Headliners
April 18, 2019
- - Compiled by Howard Haykin
FINES, SANCTIONS, LEGAL ACTIONS:
- UBS Wins EFL Arbitration on Wall Street with No Name [BrokeAndBroker]
- Credit Suisse Notches Arbitration Win vs. Wells FA Who Alleged Fraud [AdvisorHub]
- Morgan Stanley Fires New Broker Team After Schwab Initiates Fight Over Their Contacting Former Clients [AdvisorHub]
- Deutsche Bank Shares Slip Amid $20Bn Russian Money-Laundering Allegations [CNBC]
► Deutsche Bank Faces Action Over $20Bn Russian Money-Laundering Scheme [TheGuardian]
- Apollo Draws Fury from Small-Time Investors Who Lost Everything [Bloomberg]
- Barclays and Metals Hedge Fund Red Kite Settle $850Mn Market Abuse Case [Bloomberg]
PEOPLE & COMPANIES:
- BNY Mellon Shares Tumble (9%) Most Since 2015; CEO Warns of Yield-Curve Woe [Bloomberg]
► BNY Mellon Sees 3-5% Drop in Q2 Net Interest Revenue [Reuters]
- Citigroup Might Relax Screening of New Hires for Marijuana Use [NYPost]
- Broadridge to Acquire TD Ameritrade Retirement Plan Custody and Trust Assets [PR Newswire]
- Morgan Stanley Leans on Wealth Management To Beat Estimates [Reuters]
- JPMorgan Names Jennifer Piepszak as New CFO; Marianne Lake to Run Consumer Lending [CNBC]
► JPMorgan Chase Promotes 2 Women as Possible Successors to Dimon [NYBizJournal]
- Blackstone Converting to a Corporation from a Publicly Traded Partnership [CNBC]
- Deutsche Bank-Commerzbank: 'Massive Job Cuts' Only Way Merger Could Happen - Strategist [CNBC]
► Deutsche Bank Said to Prepare Plan B if Takeover Talks Fail [Bloomberg]
HEADLINES & HEADLINERS:
- Trump Appointee to Turn Wall Street Watchdog CFPB Into Financial Literacy Program [MarketWatch]
- Democrats Subpoena 9 Banks in Probe of Trump Finances [Bloomberg]
