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TRENDING TAGS
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- 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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Kusher/Deutsche Bank Face Probe, Wells Names New 'CFO', States Consider Fiduciary Rules … And Other Headlines and Headliners
June 20, 2019
- - Compiled by Howard Haykin
FINES, SANCTIONS, LEGAL ACTIONS:
- Walmart to Pay $144Mn to Settle FCPA Violations [SEC]
- SEC Freezes Assets in International Manipulative Trading Scheme [SEC]
- Deutsche Bank Top Execs - Past, Current - Embroiled in German Tax Scandal [Bloomberg]
- Intelligence Communications Company, Top Executives Defrauded Merger Investors [SEC]
- Kushner Transactions Part of DOJ Money Laundering Probe at Deutsche Bank [NYPost]
PEOPLE & COMPANIES:
- NBA All-Star Tony Parker Looks to Save Athletes from Blowing Their Fortunes [WealthMgmt]
- Deutsche Bank Braced for Continued Fed Restrictions on U.S. Business - Sources [Reuters]
- Wells Fargo Names Joseph Redy as First 'Chief Fiduciary Officer' [WealthMgmt]
- Citigroup Trying to Take CLO Trading Out of the 1990s [Bloomberg]
- Steven Feinberg Leaves Credit Suisse for Deutsche Bank [NYPost]
HEADLINES & HEADLINERS:
- Fiduciary Battle Spreads to New Jersey, Massachusetts and Nevada [FinancialAdvisor]
► Galvin Proposes Fiduciary Rule in Massachusetts [ThinkAdvisor]
- Fraud Prevention in a Family Office [WealthMgmt]
- SEC Chair Clayton Announces Events for Main Street Investors in Boston [SEC]
- Bank of America CEO Calls for Cashless Society: The Libra Effect? [MarketRealist]
- Citigroup is Only Major Bank Not Expecting The Fed to Cut Rates This Year [CNBC]
- Congress Will Move ‘Aggressively’ to Examine Facebook’s cryptocurrency - Rep. Maxine Waters [CNBC]
- Tampa Bay Rays Consider Relocating Part-Time to Montreal [Bloomberg]
