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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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SEC Responds to Musk Tweet, Goldman Ups Legal Reserves, Piper to Acquire Weeden ... And Other Headlines and Headliners
February 26, 2019
FINES, SANCTIONS, LEGAL ACTIONS:
- So. Florida Alt. Investments Scheme in Deep Freeze – Had Targeted Retail Investors [SEC]
- FINRA Regulatory Settlement About Vulnerable Individual Raises Troubling Questions [BrokeAndBroker]
- Elon Musk in ‘Contempt of Court’ for 2nd Misleading Tweet: SEC [NYPost]
- Charles Schwab Sues Customers Over XIV Debit Balance [BrokeAndBroker]
PEOPLE & COMPANIES:
- Goldman Has Portfolio Which Tracks Hedge Funds That’s Trouncing the Market - Here's What's In It [CNBC]
- Goldman’s Legal Losses Could Exceed Reserves by $1.9Bn [Reuters]
- Jeffrey Skilling, Former Enron CEO, Released From Prison After 12 Years [NYPost]
- Bank of America to Drop Merrill Lynch Name and Rebrand Wealth Unit as Just 'Merrill' - WSJ [CNBC]
- Piper Jaffray Companies to Acquire Weeden & Co. [BusinessWire]
- U.S. Bank Named One of 2019 World's Most Ethical Companies [BusinessWires]
- JPMorgan Chase in Growth Mode - Expects Branches to Reach Nearly All Americans by 2022 [CNBC]
HEADLINES & HEADLINERS:
- Wall Street Bank Just Started Covering 7 Marijuana Stocks. Here's What It's Saying [BusinessInsider]
- Big Banks Sure Don’t Look as If They Need Relief from Dodd-Frank [Bloomberg]
