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Wall Street News

MS, STT, BK Lead Week-Ending Rally in Financials - Jan. 19

January 19, 2018

Wall Street News

UBS & CS Rise, While LPL, BNY, SCHW Fall in Mixed Market - Jan. 18

January 18, 2018

Wall Street News

BLK, WFC, BRK Lead Rally in Financial Stocks - Jan. 17

January 17, 2018

Wall Street News

Will Trump Save Bitcoin From Regulation

January 17, 2018

Donald Trump & Co.

GOP Senators Used 'Backdoor' Lies to Defend Trump

January 17, 2018

Wall Street News

BCS, BLK Advance in a Mixed Day for Financials - Jan. 16

January 17, 2018

Wall Street News

BLK, SCHW, ETFC Lead End-of-Week Rally in Financials - January 12

January 12, 2018

Wall Street News

CS, PRU, AMP Help Extend Financials Rally - Jan. 11

January 11, 2018

Wall Street News

BK, PRU, DB, STT Lead Big Financials Rally - January 10

January 10, 2018

Compliance Concepts

FINRA's High-Risk Registered Rep Program

January 10, 2018

Hirings/Transitions

FINRA Job Postings as of January 10

January 10, 2018

Wall Street News

AMTD, SCHW, LPL Lead Rally in Financials - Jan. 9

January 9, 2018

Wall Street News

LPL, Pru Rise While DB, BCS Fall - Jan. 5

January 5, 2018

Wall Street News

Financial Stocks: LPLA, ETFC, CME, UBS Advance; GS, DB Fall - Jan. 3

January 3, 2018

Hirings/Transitions

New FINRA Job Openings - January 3

January 3, 2018

Wall Street News

DB, BAC, BCS Advance in Otherwise Mixed Market for Financials - Jan 2

January 3, 2018

General News

To Friends & Associates ~ Wishing You All Health, Happiness, Success, & Peace On Earth in the New Year ~Financialish.com

December 22, 2017

Wall Street News

DB, AIG, CME are Biggest Losers as Financials End Week on Down Note - Dec. 22

December 22, 2017

Wall Street News

WFC, GS, CS Lead Financials Higher - Dec. 21

December 21, 2017

Crimes

$1.2Bn Ponzi Scheme Preyed on Florida Elderly

December 21, 2017

Regulatory Sanctions

Raymond James Pays Big for its Long-Term Email Supervision Failures

December 21, 2017

Wall Street News

ICE, Credit Suisse, TD Ameritrade are Biggest Losers in Mixed Day - Dec. 20

December 20, 2017

Crimes

Broker Exchanged Special Access to IPOs for Cash Kickbacks - SEC

December 20, 2017

People

SEC Deputy Director of Trading and Markets is Retiring

December 20, 2017

Hirings/Transitions

FINRA Job Postings as of December 20

December 20, 2017

Wall Street News

Goldman, Citigroup, Deutsche are Biggest Losers in Bear Market - Dec. 19

December 19, 2017

Regulatory Sanctions

Merrill Lynch Fined $1.4Mn Over ‘Extended Settlement’ Transaction Violations

December 19, 2017

People

Marc Berger Named Director of New York Regional Office

December 19, 2017

Regulatory Sanctions

Brokers 'Crossing the Line' on Discretionary Authority

December 19, 2017

Wall Street News

Deutsche Bk, Wells Fargo, PiperJaffray Lead Rally in Financials - Dec. 18

December 18, 2017

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