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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 Whistleblowers Get $50Mn, Feds Drop Jussie Smollett Charges ... And Other Headlines and Headliners
March 26, 2019
FINES, SANCTIONS, LEGAL ACTIONS:
- FINRA Settlement Not Fussing and Fighting but Working it Out [BrokeAndBroker]
- Investment Adviser Committed Long-Running Fraud; SEC to Appoint Receiver to Preserve Investor Assets [SEC]
- Citigroup Faces $1.2Mn Fine for Allegedly Manipulating Japanese Government Bond Futures [Bloomberg]
- Prosecutors Drop Charges Against 'Empire' Actor Jussie Smollett for Alleged Staged Hate Crime - Chicago Cop Says it's a 'Slap in Our Face' [CNBC]
- Ex-Barclays Banker Convicted in Euribor Rigging Trial [Reuters]
PEOPLE & COMPANIES:
- Warren Buffett's Next Deal Will Be His Most Important [Bloomberg]
- Goldman Sachs UK Unit Reports 51% Gender Pay Gap [Reuters]
- Jeffrey Dinwoodie Named SEC Senior Counsel and Policy Advisor for Market and Activities-Based Risk [SEC]
- Bank of America's Tech Chief, Cathy Bessant, Bearish on Blockchain Despite Having Most Patents for It [CNBC]
- JPMorgan Nabs Lucrative Stabilization Role in Lyft IPO [Bloomberg]
HEADLINES & HEADLINERS:
- Mueller Aside, Why the Stock Market Could Be About to Deliver Explosive Gains [MarketWatch]
- Bitcoin Falls >2% After Notching 5th Straight Weekly Win - Longest in 11 Months [MarketWatch]
- SEC Awards $50 Million to 2 Whistleblowers [SEC]
- FINRA Adopts Rule 7640B (Data Products Offered By NYSE) [FINRA]
