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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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SocGen Axing Jobs, Money Laundering Charges for StanChart and Lori Loughlin, HR Direct Deposit Fraud … And Other Headlines and Headliners
April 10, 2019
- Compiled by Howard Haykin
FINES, SANCTIONS, LEGAL ACTIONS:
- Former SeaWorld Associate General Counsel Committed Insider Trading [SEC]
- Add Money Laundering to Charges Against Actress Lori Loughlin, Husband and Others in College Admissions Scheme [CNBC]
- Death Craps Out with Viatical Settlement Dice [BrokeAndBroker]
- UBS Broker’s Widow Sues for Survivor Benefit of $685K [AdvisorHub]
- Standard Chartered Gets $1Bn Fine for Helping Iran Launder Money [NYPost]
- 15 Unregistered Brokers Charged for Illegal Microcap Offerings [SEC]
- Court Suspends Former NYSE Arbitration Counsel and FINRA Arbitrator [BrokeAndBroker]
PEOPLE & COMPANIES:
- Winklevoss Twins Can’t Sue for Defamation Because They’re Famous [NYPost]
- Famed Short Seller Jim Chanos Wins Bloomberg NCAA Tourney Challenge [Bloomberg]
- French Bank SocGen Axing 1,600 Jobs in Drive to Lift Profits [Reuters]
HEADLINES & HEADLINERS:
- What You Need to Earn to be in Top 5% in New York [CNBC]
- FINRA Updates Interpretations of Financial and Operational Rules [FINRA RegNote]
- Fraudsters Target HR Functions: New Wire Fraud Scam Targets Your Direct Deposit Info [CNBC]
- U.S. Bank CEOs Face Off with Congress for First Time Since Financial Crisis [Reuters]
► Wall Street Has Plan for Angry Lawmakers: Let Jamie Dimon Take Over [Bloomberg]
