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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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Wells Fargo to Pay $575Mn Over Sales Practices ... And Other Headlines and Headliners
December 28, 2018
FINES, SANCTIONS, LEGAL ACTIONS:
- Two Advisory Firms, CEO Violated Mutual Fund Share Class Disclosure Rules [SEC, SEC Order]
- 2 Robo-Advisers - Wealthfront Advisers and Hedgeable - Made False Statements, Published Misleading Ads [SEC] [Wealthfront Order] [Hedgeable Order]
- JPMorgan to Pay >$135Mn for Improper Handling of ADRs [SEC, SEC Order]
- Scottsdale Capital Sues Rep for Contacting FINRA; FINRA Bars Him for Not Testifying Against Firm [BrokeAndBroker]
- Wells Fargo to Pay States $575Mn Over Sales Practices [Bloomberg]
PEOPLE & COMPANIES:
- Wells Fargo CEO Survives to 2019 as Scandals Burn Through Bank’s Ranks [Bloomberg]
- Nomura CEO Signals More Job Cuts in Europe to Reverse Losses [Bloomberg]
HEADLINES & HEADLINERS:
- Exclude Cryptocurrencies from SEC’s 72-Year-Old Securities Definition - Lawmakers [CNBC]
- Senators Call on SEC and Other Watchdogs to Look into Fintech Regulation After Robinhood Debacle [CNBC]
- Mutual Fund Outflows Surge to $56 Billion, Most Since 2008 [AdvisorHub]
- Goldman Expects Moderate to Low Risks on Leveraged Loans, CLOs [Bloomberg]
