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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 Sets Up Crypto/FinTech Meetings, Wells Fargo CEO on Hot Seat, NY AG Subpoenas 2 Banks ... And Other Headlines and Headliners
March 12, 2019
FINES, SANCTIONS, LEGAL ACTIONS:
- Morgan Stanley Female Rep Survives Former Advisor Program Arbitration [BrokeAndBroker]
- UBS Group, Standard Chartered to Settle IPO Misconduct Case [Zacks]
- New York AG Reportedly Subpoenas 2 Banks Over Trump Organization Financial Records [MarketWatch]
► Report: NY AG Subpoenas Banks in Wake of Michael Cohen's Testimony on Trump Assets [Law.com]
PEOPLE & COMPANIES:
- Wells Fargo CEO Tim Sloan to Tout Risk Management, Remediation to U.S. Congress [Reuters]
► Wells Fargo Trails Bank Rally Before Tim Sloan's Big Day in Congress [Bloomberg]
► Report: Big Problems Remain at Wells Fargo [Barron's]
- Martin Shkreli Probed Over Report He’s Running Business from Prison [NYPost]
- JPMorgan About to launch Lowest-Fee U.S. Stock Market ETF - Lower Than Vanguard, Blackrock and Schwab Funds [CNBC]
- Wells Fargo Regulators Weigh Executive Shakeup as CEO Heads to Washington [WSJournal - subsc reqd]
HEADLINES & HEADLINERS:
- Winklevoss Twins Preach Trust, More Regulation for Crypto Market [Bloomberg]
- Crypto Market Recovers as SEC Launches Meetups with Sector [Investing]
- Trump Bid to Ease Wall Street Rules Hurt by Regulators' Missteps [Bloomberg]
- MMT (Modern Monetary Theory) Has Been Around for Decades. Here’s Why It Just Caught Fire [Bloomberg]
- Why a Decline in Fines Doesn’t Mean Relaxed Enforcement [WealthManagement]
- SEC Share Class Initiative Returning More Than $125Mn to Investors [SEC]
- SEC Whistleblowers Blow Their Own Whistles Too Late for Awards [BrokeAndBroker]
