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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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Stay Clear of Goldman Sachs Stock ... And Other Headlines and Headliners
January 3, 2019
FINES, SANCTIONS, LEGAL ACTIONS:
- Former Ladenburg Chairman Settles with SEC Over Pump-and-Dump Scheme [WealthMgmt]
- Morgan Stanley Ordered in Arbitration to Pay $4.2Mn to Former Clients Over Now-Defunct Nightclubs Recommended by Ex-Broker [WSJ subsc reqd]
- Ir-Rationale FINRA Merrill Lynch EFL Arbitration Decision Cited by Tax Court [BrokeAndBroker]
- Widow of Merrill Lynch Broker Sues Firm for $30Mn - Value of His ‘Book’ [AdvisorHub]
PEOPLE & COMPANIES:
- Goldman Sachs Set to Lead in M&A Again [NYPost]
- Top 15 Broker-Dealers 2018 By Assets Under Management [Investopedia]
- Stay Clear of Goldman Sachs This Year - Dick Bove [CNBC]
HEADLINES & HEADLINERS:
