BROWSE BY TOPIC
Stories of Interest
- Wells Fargo Has Shown Us Its Contemptible Values
- UBS to Counter Trading Troubles With M&A Work
- SEC Moves Quickly To Shut Down Fake Pre-IPO Share Scam
- SEC Testimony: Oversight of the SEC Division of Enforcement
- FINRA Modifies 'Agency Debt Security' in Rule 6710
- Is Jamie Dimon Doing a U-Turn on Bitcoin?
- After New Yorker's Racist Rant Goes Viral, His Law Firm Gets Pummeled with 1-Star Yelp Reviews
- Bill O’Donnell is New CFO at MetLife
- Trump Still Owes Deutsche Bank, Others as Much as $480Mn
- Wells Fargo Scandals Hurt Its Retirement Business
- Michigan State to Pay $500Mn to Victims of Larry Nassar's Abuse
- Top Lawyer at Novartis Leaving Over $1.2Mn Contract with Michael Cohen's Consulting Firm
- Cadwalader Adds Mark Chorazak to its Financial Regulation Practice
- Deutsche Bank: It's A Short According to Eisman of ‘The Big Short’ Fame
- Up In Smoke: Bank of Montreal Goes All-In on Pot Deals
- RBS to Pay $4.9Bn to Settle Toxic MBS Probe with U.S.
- Apple and Goldman Sachs Team Up to Release New Credit Card
- Robinhood, A Stock, Trading App Rejected by 75 Investors, Now Worth $5.6Bn
- Wells Fargo Reportedly Pocketed Fire And Police Department Pension Fund Fee Rebates
- Trading App Robinhood Surpasses E*Trade In User Numbers
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NEWSLETTERS & ALERTS
Welcome to Financialish.com, a fresh and lively source for takes (and “take aways”) on disciplinary actions in the securities industry.
We feature FINRA and SEC case studies that are delivered in a clear, concise, comprehensive and engaging manner that aims to satisfy compliance and legal professionals – their insatiable appetite for information and their limited time to surf the net.
Financialish.com provides relevant findings and criteria that serve as the basis for the regulatory sanctions handed down by FINRA and the SEC, and we conclude with sensible “take aways” that seek to challenge ineffectual industry norms and haphazard approaches to regulatory compliance.
Financialish.com adds to the mix feature stories about the firms and folks of Wall Street, and announcements about career opportunities. It all adds up to a quick read of the news, without ‘smoke and mirrors’.
HOWARD L. HAYKIN, Founder and Executive Publisher
A born-and-bred New Yorker with 30 years' experience on Wall Street, Howard is Publisher and Executive Editor of Financialish.com, the premier site for regulatory coverage of FINRA and SEC disciplinary actions.
Prior to launching Financialish.com, Howard founded and published Compliance-Insights.com, the highly-regarded industry web site and newsletter that provided up-to-the-minute reports and innovative commentary on Wall Street rules and regulations, its people and companies, and cautionary tales of “What Went Wrong.”
In years past, Howard worked with and for numerous financial services firms, including broker-dealers, inter-dealer brokers, investment advisors and mutual fund companies. He served in compliance, accounting, managerial, consulting and auditing roles for such firms as: (i) Compliance Solutions; (ii) Fidelity Investments; (iii) Nomura Securities; (iv) Ameriprise; (v) GFI Group; (vi) Westport Resources; (vii) Bear Stearns; and, (viii) Thomson McKinnon Securities (and its affiliate, TM Asset Management).
Howard is a FINRA Industry Arbitrator and an occasional expert witness in Wall Street arbitrations and labor disputes. A non-practicing CPA, Howard was an audit professional with CPA firms, Deloitte LLP and MR Weiser. He holds an MBA in Accounting from New York’s Baruch College, and a BA in Economics from Brooklyn College.
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