Compiled by Howard Haykin

FINES, SANCTIONS, LEGAL ACTIONS:

• Wells Fargo to Pay $800K to Settle with SEC Over its Role in Curt Schilling Video Game Case [AssociatePress]
• UBS Fined $37Mn by U.K. for Decade of Reporting Errors [Bloomberg]
• Citigroup Fined $25Mn by The OCC Fines for Violating Fair Lending Rules [Reuters]
• FINRA Suspends CEO And CCO Over Failed Supervision of Exotic ETFs [BrokeAndBroker]
• SEC's 2015 Case Against Pump-and-Dump Schemers Concludes [SEC]
• Patriots Owner Robert Kraft Reportedly Rejects Deal to Drop Prostitution Solicitation Charges [CNBC]
• Facebook-Google Scammer Pleads Guilty in $121 Million Theft [Bloomberg]

PEOPLE & COMPANIES:

• Goldman Sachs to Acquire S&P's Investment Advisory Services [Zack's]
• Donald Trump Has Some Stories to Tell About Deutsche Bank [Bloomberg]
• Raymond James CFO to retire after 32 Years [BizJournals]
• Deutsche Bank Merger Talks Heighten Uncertainty for U.S. Staff [Reuters]

►       Merkel’s Government Slammed Over Deutsche Bank Deal [Bloomberg]

• UBS Feels the Pain from Spooked Billionaires [Bloomberg]
• SEC's Martha Miller: Introducing SEC’s Office of the Advocate for Small Business Capital Formation [SEC Speech]

HEADLINES & HEADLINERS:

• FINRA Member Relations & Education: Making Regulation Smarter [FINRA Podcast]
• FINRA RegNote: Guidance on FOCUS Reporting for Operating Leases [FINRA]
• Can Crypto Help Banks Do Banking? (It's as though lenders have been hiding under a rock for past 70 years.) [Bloomberg]
• Billionaire Has New Goal for His 17,000 Workers: Learn to Code [Bloomberg]
• Jamie Dimon: Tech Giants Should Get Prepared for 'Full Monty' of Regulatory Onslaught [CNBC]
• Federal Reserve Sees Economic Slowdown – No More Rate Hikes This year [CNBC]
• The Psychology of Deception: How Elizabeth Holmes Fooled Everyone About Theranos For So Long [CNBC]