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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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Upstart Robinhood Gets Push-Back, Jeffrey and Shira Minton Leaving SEC ... And Other Headlines and Headliners
December 17, 2018
FINES, SANCTIONS, LEGAL ACTIONS:
- Executives Will Pay $2.7Mn Over ICO Scam Charges [SEC]
- Barclays Traders' Hidden $400Mn Loss Uncovered by Hedge Fund Lawsuit [Bloomberg]
- Casimir Capital Faulted as Broker Fights for Expungement of Non-Complaint Charges [BrokeAndBroker]
- Top Democratic Senators Want investigation into Deutsche Bank AML and Bank Secrecy Compliance [Reuters]
- Father, Daughter Conducted $8Mn Ponzi Scheme Through Advisor [SEC] [SEC Complaint]
- RIA/BD Caught Loading Each Client Trade with $20 'Confirm Fee' [SEC]
PEOPLE & COMPANIES:
- Jeffrey Minton, Office of the Chief Accountant Chief Counsel, to Retire from the SEC After 20 Years of Service [SEC]
► Shira Pavis Minton, Ethics Counsel, to Retire from the SEC After 20 Years of Federal Service [SEC]
- Aaron Lipson, Associate Regional Director of Atlanta Office, to Leave Agency After 14 Years of Service [SEC]
- Robinhood Postpones and Will Re-Launch, Rebrand Savings Account Plan Following Criticism [CNBC]
HEADLINES & HEADLINERS:
