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- Sarah ten Siethoff is New Associate Director of SEC Investment Management Rulemaking Office
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- 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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'Tracy Britt Cool, Warren Buffet's Protégé' ... Fines, Sanctions, Headlines & Headliners (7/25)
July 25, 2018
FINES, SANCTIONS, LEGAL ACTIONS:
- Former Barclays, Deutsche Bank Traders Get Combined 13 Years in Jail [Bloomberg]
- SEC Detects Insider Trading by Silicon Valley Exec [SEC]
- Failed Fyre Festival Founder, Others, Charged with $27.4Mn Offering Fraud [SEC]
- Deutsche Bank to Pay $75Mn for Improperly Handling ADRs [SEC]
- Advisor with OAG Wealth Mgmt Diverted Investor Funds [SEC]
- CCO of Banca IMI Securities Fined for Certifying to Violative Securities Lending Desk Activity [SEC]
- Sycamore Lane Partners Causes its Brokers to Violate Reg SHO - Pays Fine, Disgorgement [SEC]
- Beverly Hills Wealth Mgmt and Principal Illegally Withheld Client Payments [SEC]
PEOPLE & COMPANIES:
- Tracy Britt Cool: How Warren Buffet's Protégé, 34, Scored Her Job at Berkshire Hathaway [CNBC]
- SEC Regional Director (Denver) - Julie Lutz - Leaving After >40 Years [SEC]
- Facebook's Top Lawyer Leaving the Company [CNBC]
HEADLINES & HEADLINERS:
- No End in Sight for Commodity Crash With Charts Sending Bear Signals [Bloomberg]
- JPMorgan Says Record-Breaking Bull Market Could Run Until 2020 [Bloomberg]
- FINRA Amending Arb Codes to Provide Additional Hearing Option in Simplified Arbitration [FINRA]
- SEC Proposes to Simplify and Streamline Disclosures in Certain Registered Debt Offerings [SEC]
