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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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Three Join FINRA Board of Governors - And Other Fines, Sanctions, Headlines & Headliners
September 4, 2018
FINES, SANCTIONS, LEGAL ACTIONS:
- Wells Fargo Fires Bankers Who Doctored Expense Receipts: WSJ [Reuters]
► Wells Fargo Investigating Bankers' Alleged Expense Violations [Bloomberg]
- Two Friends, Their Option Deal, A Stockbroker, His Restaurant, UBS, and FINRA [BrokeAndBroker]
- BNP Paribas to Pay $90Mn - Traders Used Salt-N-Pepa Lyrics as Code for Rigging Rates [NYPost]
- Aegon USA, Transamerica Engaged in Bad Sales of Mutual Funds, Variable Life, Variable Annuities [SEC]
► Aegon USA's CIO Sanctioned [SEC]
► Aegon USA's Director of New Initiatives Sanctioned [SEC]
- Medical Marijuana Company Founder Sold Unregistered Securities [SEC]
► SEC Complaint [SEC]
- Date of Birth on Driver License Crashes Stockbroker Career [BrokeAndBroker]
PEOPLE & COMPANIES:
- New FINRA Governors: Scheve (Large Firm), Kovack (MidSized), Pierce (Small) [FINRA]
- BofA's Merrill Lifts Ban on Commissions for Retirement Accounts [Bloomberg]
- BlackRock’s Decade: How the Crash Forged a $6.3 Trillion Giant [BusinessWeek]
- Scotiabank and Bank of Montreal Profit from Doing More with Less [Bloomberg]
- Bank of Montreal's U.S. Push Rewarded with Record Profit [Bloomberg]
- Deutsche Bank CEO Warns of Rising Pressure to Consolidate [Bloomberg]
HEADLINES & HEADLINERS:
