Subscribe to our mailing list

* indicates required

BROWSE BY TOPIC

ABOUT FINANCIALISH

We seek to provide information, insights and direction that may enable the Financial Community to effectively and efficiently operate in a regulatory risk-free environment by curating content from all over the web.

 

Stay Informed with the latest fanancialish news.

 

SUBSCRIBE FOR
NEWSLETTERS & ALERTS

FOLLOW US

Wall Street News

Financials Limp Into Holiday Weekend - MS (-1.9%), DB (-1.6%) SCHW (-1.4%) - May 25

May 25, 2018

Regulatory Sanctions

Broker Sanctioned Twice for Taking Customer Info to New Firm

May 25, 2018

Wall Street News

Financialish Stock Index Falls 0.9% in Debut (DB, WFC, CS, C are Biggest Losers) - May 24

May 24, 2018

Terminations/Cost Cutting

Deutsche Bank Axing Jobs, Dimming Lights in New York, London

May 24, 2018

Regulatory Sanctions

FINRA Sweeps Nab Firms for Best Execution Violations

May 24, 2018

Wall Street News

Market Turns Against Financials - CS, AIG, BAC are Biggest Losers - May 23

May 23, 2018

Regulatory Sanctions

Rent-A-FinOp/COO Slapped for Amending Her Own Form U5

May 23, 2018

Hirings/Transitions

FINRA: Latest Job Postings - May 22

May 23, 2018

Wall Street News

DB, UBS, CS WFS Lead Big Rally in Financial Stocks - May 22

May 22, 2018

Regulatory Sanctions

Broker Barred for Exercising Discretion on Outside Brokerage Accounts

May 22, 2018

Wall Street News

LPLA, WFC, RJF, BK Lead Big Financials Rally - May 212

May 21, 2018

Wall Street News

LPLA, WFC, RJF, BK Lead Big Financials Rally - May 21

May 21, 2018

People

Richard Powers to Head DOJ Antitrust Division

May 21, 2018

Regulatory Sanctions

Credit Suisse Securities Kills 2 Birds With One Stone

May 21, 2018

Regulatory Sanctions

Tax Liens & Misdemeanors - Willful Failure to Update Forms U4

May 21, 2018

Wall Street News

Deutsche Bank Falls a 3rd Day, As Financials Close Week Down - May 18

May 18, 2018

Wall Street News

Raymond James (+2.3%), Wells Fargo (-1.5%) Featured in Mixed Market - May 17

May 17, 2018

Rules & Regulations

FINRA Board of Governors Meeting (May 9-10)

May 17, 2018

Regulatory Sanctions

Knowing When The Jig (And Gig) Is Up

May 17, 2018

Wall Street News

Raymond James (+2.6%), Deutsche Bank (-2.2%) Stand Out in a Mixed Market - May 16

May 16, 2018

Regulatory Sanctions

Industrial and Commercial Bank of China Settles FINRA AML Penny Stock Charges

May 16, 2018

Regulatory Sanctions

SEC Fines ICBCFS and Chardan, Bars CCO/AMLCO, Over AML Violations

May 16, 2018

Hirings/Transitions

FINRA: Latest Job Postings - May 15

May 16, 2018

Wall Street News

DB Down 2.6%, MET Up 1.1% in a Mixed Day for Financials - May 15

May 15, 2018

People

SEC's OCIE Has New Chief Risk and Strategy Officer

May 15, 2018

Regulatory Sanctions

FINRA Disciplinary Actions for May 2018

May 15, 2018

Regulatory Sanctions

Oops! Broker Missed Fine Print in the CD Disclosure Statement

May 15, 2018

Wall Street News

Financials Close Mixed (DB Down 1.5%, AMP Up 1.4%) - May 14

May 14, 2018

Crimes

‘Securities Compliance Group’ Gives Consulting Firms a Bad Rep

May 14, 2018

People

Leadership Changes at Goldman Sachs

May 14, 2018

Scroll to load more