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Regulatory Sanctions

Broker with Sticky Fingers Gets the Boot

October 21, 2017

Wall Street News

Financials Soar as Markets Advance - Oct 20

October 20, 2017

Rules & Regulations

Sales Practice Obligations for Volatility-Linked ETPs - FINRA

October 20, 2017

Regulatory Sanctions

Wells Fargo Pays $3.4Mn in Restitution, But No Fine, For Selling Unsuitable ETPs

October 20, 2017

Regulatory Sanctions

Non-Registered Employee Barred for Undisclosed Private Securities Transactions

October 20, 2017

Regulatory Sanctions

This Young Broker Struck Out on Integrity

October 20, 2017

Wall Street News

Mixed Day for Financials Ends Better Than It Started - Oct 19

October 19, 2017

Regulatory Sanctions

Another Broker-Dealer Sanctioned for Sales of Non-Traditional ETFs

October 19, 2017

Regulatory Sanctions

FINRA Closes 4-Year Old Best Execution Case Against Oppenheimer

October 19, 2017

People

JPMorgan Executive is the New SEC Director of Trading & Markets

October 19, 2017

Regulatory Sanctions

After Years of Lies, Unauthorized Discretion and Large Commissions, A Broker is Barred

October 19, 2017

Donald Trump & Co.

Mnuchin Evolves: Never Meant His Comments to be Taken Literally or Seriously

October 19, 2017

People

Petal Walker Left CFTC to Rejoin WilmerHale

October 19, 2017

Wall Street News

Goldman, Morgan Stanley Lead Financials Rally - Oct 18

October 18, 2017

Regulatory Sanctions

B/D Failed to Use Escrow Account in Contingent Private Placement

October 18, 2017

People

Andrew Calamari Leaving the SEC

October 18, 2017

Lawsuits/Arbitrations

David Ganek Loses Bid to Sue Preet Bharara

October 18, 2017

Regulatory Sanctions

Broker ‘Cuts and Pastes’ Herself Out of a Job

October 18, 2017

Wall Street News

Goldman, Schwab Biggest Stock Market Losers - Oct. 17

October 17, 2017

Wall Street News

CFTC Primer on Virtual Currencies

October 17, 2017

Regulatory Sanctions

Muni ‘Mini’ Denominations – More Brokers-Dealers Cross the Line

October 17, 2017

People

SEC Regional Director to Leave Atlanta Office

October 17, 2017

Regulatory Sanctions

Research Director, Who Failed to ‘Hit the Ground Running’, Pays the Price

October 17, 2017

Hirings/Transitions

FINRA Job Postings as of 10/17

October 17, 2017

Wall Street News

Deutsche Bank, TD Ameritrade Lead Rally in Financial Stocks - Sept. 27

September 27, 2017

Regulatory Sanctions

FINRA Sweep Nabs B/D for Unfair Pricing on Muni Bond Trades with Customers

September 27, 2017

Regulatory Sanctions

It's ‘Lights, Camera, Action’ ... Then ‘Termination, Fines, Suspension'’

September 27, 2017

Hirings/Transitions

FINRA Job Postings as of September 27

September 27, 2017

Wall Street News

Mixed Day for Financial Stocks - Sept. 26

September 26, 2017

Regulatory Sanctions

Wells Fargo Pays for Past Options Reporting Violations

September 26, 2017

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