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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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UBS Bankers Cleared, Bart Chilton Dies, Hedge Funds Short the VIX … And Other Headlines and Headliners
April 29, 2019
- - Compiled by Howard Haykin
FINES, SANCTIONS, LEGAL ACTIONS:
- San Diego-Based Investment Adviser Ran Ponzi Scheme [SEC]
- Family Claims Wells Fargo Hired Shady Broker Who Depleted Their Finances [NYPost]
- UBS Bankers Cleared After Seeing Tips Pop Up on Phone of Train Passenger [Bloomberg]
- UPDATE: Banker's Affair with Customer's Husband Lands Safra in FINRA Arbitration [BrokeAndBroker]
- Judge Denies Credit Suisse’s Move to Vacate Deferred Comp Award [AdvisorHub]
- Goldman CEO: 1MDB Guilty Plea Hasn’t Been Discussed with DOJ [Bloomberg]
PEOPLE & COMPANIES:
- Elon Musk Makes Deal with SEC Not to Discuss Tesla’s Finances Without Lawyer’s Approval [SEC]
- E*Trade Close to Launching Cryptocurrency Trading [Bloomberg]
- How Deutsche Bank Drifted into Its Whirlpool of Woes [BusinessWeek]
- Bart Chilton, Former CFTC Commissioner and HFT Critic, Dead at 58 [CNBC]
► Bart Chilton, CFTC's Colorful Swaps-Rules Backer, Dies at 58 [Bloomberg]
- Deutsche Bank Chair: No Fundamental Overhaul Needed at Investment Bank - FT [Reuters]
- Citigroup Global Trade Uses AI to Digitize Compliance in NextGen Project [BusinessWire]
HEADLINES & HEADLINERS:
- Sensing Threat They Can’t Ignore, Wall Street Banks Instead Partner with Tech Giants Like Apple [CNBC]
- Hedge Funds Shorting the VIX (CBOE Volatility Index) at Rate Never Seen Before [Bloomberg]
- Uber Set to Hit the Road for Year’s Biggest IPO [Bloomberg]
- FINRA Rule 4570 Amended for Books and Records of Withdrawing (Form BDW) B/Ds [FINRA]
- Cryptocurrency Trading Platforms: FINRA Issues Warning, Advice [FINRA]
- Majority of Financial Advisors Lack Succession Plan, A Crucial Aspect of Running a Firm [CNBC]
- The Junkiest Corporate Bonds Divide Wall Street [Bloomberg]
