JPMorgan Set to Pay $1 Billion in Record Spoofing Penalty
By Ben Bain, Tom Schoenberg and Matt RobinsonThe case involves trading of metals futures and Treasury securities.
September 24, 2020
No Donor Slowdown in 2019 as Gifts, Amounts SpikeCharitable gift annuities performed particularly well, a BNY Mellon study shows.
September 24, 2020
Greg Deavens to Lead Independence HealthBefore Deavens went to Independence Health, he was the corporate controller at MassMutual.
September 24, 2020
Andrew McMahon to Lead GuardianMcMahon has worked for McKinsey, and for AXA U.S.
September 23, 2020
FINRA Bars Ex-Prudential Broker Who Forged Clients' SignaturesThe ex-rep also created email accounts for two clients and submitted annuity applications without their knowledge, according to FINRA.
September 23, 2020
RIA Deals Broke Record in Q3 on Future Tax Worries: DeVoeWith a week left this quarter, the number of M&A deals has already broken the quarterly record, DeVoe & Co. says.
September 23, 2020
SEC Votes to Restrict Shareholder ProposalsThe agency voted to raise the thresholds required for shareholders to submit proxy proposals.
September 23, 2020
FINRA Working on Reg BI Guidance, Mulling Exam Changes: CookIn the future, in-person BD exams likely will be considered "more on a risk-based framework," says the regulator's CEO.