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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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Wells Talks with DOJ and SEC, Junk Regains Favor, SEC's New CRO ... And Other Headlines and Headliners
March 2, 2019
FINES, SANCTIONS, LEGAL ACTIONS:
- Wells Fargo Starts Settlement Talks with DOJ, SEC [Reuters]
- Lifelong Wells Broker Sues Firm for Age, Gender Discrimination [AdvisorHub]
- FINRA Arbitration Costs National Securities in Promissory Note Case [BrokeAndBroker]
- SEC Obtains Judgment Against Former Ohio Broker [SEC]
- How a Money Guru, Jordan Goodman, Cashed In [NYTimes]
PEOPLE & COMPANIES:
- If JPMorgan Is Hurting, What Hope for BNP, DB, SocGen and Other Euro Banks? [Bloomberg]
- Deutsche Bank Merger with Commerzbank Doesn't Make Sense: Advisor [Reuters]
- SEC Names Gabriel Benincasa As Its First Chief Risk Officer [SEC]
- Goldman’s Consumer Business Marcus Loses Executive to Tech Start-Up, Stripe [Bloomberg]
HEADLINES & HEADLINERS:
- 529 Plan Share Class Initiative - FAQ's [FINRA Podcast]
- Mysterious Surge In $100 Bills in Circulation, Possibly Linked To Global Corruption [CNBC]
- FINRA Adjusts Monetary Sanctions in Sanction Guidelines for Inflation [FINRA RegNote]
- FINRA 2019 Cybersecurity Half-Day Seminars [FINRA]
- Biggest LBO Financing of 2019 Shows Junk Bonds Regaining Fervor [Bloomberg]
