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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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Michael Cohen Sets Up GoFundMe Page - And Other Fines, Sanctions, Headlines & Headliners
September 3, 2018
FINES, SANCTIONS, LEGAL ACTIONS:
- Moody’s Hit with Internal Controls Failures, Ratings Deficiencies [SEC]
► Administrative Proceeding File No. 3-18688 [SEC]
► Administrative Proceeding File No. 3-18689 [SEC]
- Ya Hear the One About the Stockbroker Who Listened to Idiots and Never Got His Record Expunged? [BrokeAndBroker]
- Legg Mason Committed FCPA Violations - Affiliate Paid Bribes to Libyan Officials [SEC]
- Ex-UBS Trader Jailed for $2 Billion Loss Is Set for Deportation [Bloomberg]
- William Galvin Charges California BD with Trading UITs [ThinkAdvisor]
PEOPLE & COMPANIES:
- Matthew Jacques - New Chief Accountant in Enforcement Division [SEC]
- Barry Miller, Associate Director (Investment Management) Leaving SEC After >40 Years of Public Service [SEC]
- Michael Cohen Sets Up GoFundMe Page for Legal Costs [Bloomberg]
- Deutsche Bank Axing 1,000 Retail HQ Job Cuts - Largely Back-, Mid-Office Jobs; Voluntary Retirements Oversubscribed [Bloomberg]
- Sequoia Financial and LJPR Financial Advisors Merge [ThinkAdvisor]
- JPMorgan’s Plan for Free Trades Drives Discount Brokerages Lower [Bloomberg]
HEADLINES & HEADLINERS:
- This Chart Could Explain Why Bitcoin Bubble Hasn't Fully Burst [CNBC]
- Custom-Built Index Funds - Are You the Right Customer? [FINRA]
- Fee Rate Advisory #1 for Fiscal Year 2019 [SEC]
- SEC's Clayton Says Sales Contests Must Die [ThinkAdvisor]
