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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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Redefining Leveraged Loan Market (JPM), Earning Miles on Bank Accounts (Citi), Breaching Binance and Anthem ... And Other Headlines and Headliners
May 10, 2019
- - Compiled by Howard Haykin
FINES, SANCTIONS, LEGAL ACTIONS:
- Investors Suing JPMorgan May Redefine the Leveraged Loan Market [Bloomberg]
- Nevada Man Traded on Confidential Information Taken from Lifelong Friend [SEC]
- Broker Sells Practice, Woos Back Clients, Loses Half-Million-Dollar Arbitration [AdvisorHub]
- Morgan Stanley Paris Bonus Case May Change Banker Pay in Europe [Bloomberg]
- 5 OBAs, 2 PSTs, $15,000 Fine and 10 Month Suspension in 1 FINRA AWC [BrokeAndBroker]
PEOPLE & COMPANIES:
- Citigroup Wants to Bring Credit Card Perks Like Miles to Bank Accounts [Bloomberg]
- Pershing Names COO Jim Crowley to be CEO Replacement for Lisa Dolly [WealthManagement]
- Advisory Firm ISS Urges JPMorgan Investors to Reject Jamie Dimon’s Compensation Package [NYPost]
- Crypto Bank Hires Former Deutsche Bank Executive [Bloomberg]
- Harvard Endowment CEO Reaps $9.3Mn Payday in Overhaul [Bloomberg]
HEADLINES & HEADLINERS:
- Hackers Steal >$40Mn Worth of Bitcoin from Binance, One of World’s Largest Cryptocurrency Exchanges [CNBC]
- DOJ Charges Chinese Hacker for 'One of the Worst Data Breaches in History' - Took 79 Million People’s Personal Data from Anthem Health Insurers [BusinessInsider]
- Uber’s Arbitration Addiction Could Be Death by 60,000 Cuts [Bloomberg]
- SEC Commissioner Jackson on … Proposed Amendments to SarbOx Accelerated Filer Definition [SEC]
- Weakest U.S. Bond Auction in Decade Validates Dimon’s Warning (that U.S. Yields are 'Extraordinarily Low') [Bloomberg]
- SEC Proposes Actions to Improve Cross-Border Application of Security-Based Swap Requirements [SEC]
