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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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Wells Fargo Settles Insurance Scam, Citadel Crushes It, SEC Threatens 'Reg D' ICOs … And Other Headlines and Headliners
June 10, 2019
- - Compiled by Howard Haykin
FINES, SANCTIONS, LEGAL ACTIONS:
- Morgan Stanley Wins Temporary Restraining Order (TRO) Against Texas Broker Who Jumped to RayJay [AdvisorHub]
- E*Trade Continues Pursuit of California Broker Who Joined Morgan Stanley [AdvisorHub]
- SEC Settles with Town of Oyster Bay, NY [SEC]
- Arbitrations: The Customer Email Order, The Lunchtime Resignation, And The Angry Morgan Keegan Stockbroker [BrokeAndBroker]
- Another Ex-Morgan Stanley Broker Sanctioned over UIT Sales [AdvisorHub]
- Wells Fargo to Pay Customers $386Mn Over Unwanted Auto Insurance [Reuters]
► Wells Fargo Agrees to Pay $385Mn to Settle Insurance Scam [Bloomberg]
PEOPLE & COMPANIES:
- Wells Fargo Names Kate Clifford-Toomey as New COO for Corporate Risk [BusinessWire]
- Fed Ends Scrutiny of JPMorgan Chase Tied to 'London Whale' Incident [MarketWatch]
- Deutsche Bank Rating Cut by Fitch as Instability Sows Doubts [Bloomberg]
- Citadel Crushes It in May, Widening Lead Over Hedge Fund Rivals [Bloomberg]
- Robert Foresman, UBS Vice Chair, Fights lawsuit over allegedly rigged (Russian) Yukos bids, Deep Ties to Kremlin [Bloomberg]
HEADLINES & HEADLINERS:
- Trump’s Pick to Head FAA Held Up by Whistleblower Lawsuit [CNBC]
- Rich Families Having Awkward Conversations About Governance [Bloomberg]
- SEC Action Threatens Billions Raised in ICOs That Ostensibly Targeted Only Wealthy Investors [MarketWatch]
► SEC Charges Issuer with Conducting $100Mn Unregistered ICO [SEC]
- Junk Bonds Get Life from Disappointing Jobs Report [MarketWatch]
