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Rules & Regulations

Texas Passes New Law to Prevent Senior Financial Abuse

May 25, 2017

Regulatory Sanctions

FINRA Cites Raymond James for Lapses When Dealing with Advisory Clients

May 25, 2017

Regulatory Sanctions

A Broker Learns … To Give is Divine, To Receive is Prohibited

May 25, 2017

Wall Street News

Millennials Have Penchant for Risk – As In Options Trading

May 25, 2017

Regulatory Sanctions

FINRA Finds Enough Trade Reporting Violations at TD Ameritrade to Cover Costs of Staff Visit

May 25, 2017

Regulatory Sanctions

BNP Paribas Pays $350Mn to Settle NY Forex Probe

May 25, 2017

Regulators

SEC Suspends Some In-House Court Cases After Court of Appeals Issues Ruling

May 24, 2017

Wall Street News

Goldman Closes Up, While Deutsche & Piper Fall - 5/24

May 24, 2017

Regulatory Sanctions

SEC Foils Insider Trading Scheme Involving Confidential Government Info

May 24, 2017

Regulatory Sanctions

SEC Accountant Caught Trading Options

May 24, 2017

Donald Trump & Co.

House Democrats Ask Deutsche Bank for Info on Trump Family Loans, Accounts

May 24, 2017

Regulatory Sanctions

FINRA Suspends Untrustworthy Broker Who Deserved to be Banned

May 24, 2017

Hirings/Transitions

FINRA Job Postings as of May 24

May 24, 2017

Wall Street News

Spotify to Go with Direct Listing, Not IPO - The Wall Street Impact

May 24, 2017

Regulatory Sanctions

FINRA Nabs Market Maker for Trading Ahead of Customers Orders

May 24, 2017

Wall Street News

Financials Close On An Uptick, 5/23

May 23, 2017

Rules & Regulations

Labor Dept's Fiduciary Rule - Ready or Not, Here It Comes

May 23, 2017

Crimes

Ex-Orioles All-Star Guilty of Insider Trading

May 23, 2017

Regulatory Sanctions

Deutsche Bank Fined for Delayed Regulatory Filing

May 23, 2017

Donald Trump & Co.

Beware: Trump Proposes Low Budget Request for Mexico Border Wall

May 23, 2017

Wall Street News

Does the Market Really Need Highly Leveraged ETFs?

May 23, 2017

Regulatory Sanctions

A Firm’s Got to Know Its Limitations … With E-Communications

May 23, 2017

Regulatory Sanctions

Merrill Broker Sits Out a Year for Selling Loaded Mutual Funds

May 23, 2017

Features/Scandals

Features/Scandals Quick Takes, 5/23

May 23, 2017

Companies

Companies Quick Takes, 5/23

May 23, 2017

Lawsuits/Arbitrations

Cellino Suing Barnes to Dissolve Law Partnership

May 22, 2017

Wall Street News

Financials Continue Market Rally

May 22, 2017

Regulatory Sanctions

Wells Fargo Broker Kited Checks to Avoid $20 NSF Fees

May 22, 2017

Regulatory Sanctions

MA Fund Manager Made Ponzi Payments, Defrauded Investors - SEC

May 22, 2017

People

Jeff Bezos Shoots for the Moon, Having Conquered Internet Shopping

May 22, 2017

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