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TRENDING TAGS
Stories of Interest
- 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 Shuts Down Micro Pump-And-Dump Scheme ... and Other 'Fines and Sanctions' Headlines
October 31, 2018
- South Florida Attorney and Businessman Barred from Penny Stock Offerings for Engaging in a Microcap Pump-And-Dump Scheme [SEC PR] [SEC Complaint]
- SEC Charges Investment Adviser with Stealing from Friends, Community Members [SEC PR] [SEC Complaint]
- SEC Announces $23.8 Million Settlement with the Self-Proclaimed “Frack Master” [SEC PR]
- SEC Suspends Trading in Company for Making False Cryptocurrency-Related Claims about SEC Regulation and Registration [SEC PR]
- SEC Charges Lawyer and Her Husband in EB-5 Fraud [SEC PR] [SEC Complaint]
- A UBS Compliance Officer, a Club in Mayfair and a Secret Deal [Bloomberg]
- Ex-Deutsche Bank Traders Found Guilty in U.S. Of Libor Scheme [Reuters]
- Don't Speak: The New Motto of Wall Street Compliance And Regulation [BrokeAndBroker]
