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Wall Street News

4/18 Weekly Update: Financialish-30-Index Again Beats Standard and Poor's 500

April 21, 2019

Wall Street News

Financials Decline Heading Into Good Friday Holiday (DB -1.7%, MS -1.5%, BCS -1.2%, CS -1.2%) - Apr. 18

April 18, 2019

Wall Street News

JPM's Possible Successors for Dimon, DB's $20Bn Laundering Issue, Citi's Relaxed Stance on Pot … And Other Headlines and Headliners

April 18, 2019

Wall Street News

Financial Stocks Advance (Goldman, JPMorgan Gain ~3%, While BNYMellon Tanks ~10%) - Apr. 17

April 17, 2019

Regulatory Sanctions

Selling Private Securities in a Ponzi Scheme [Part One]

April 17, 2019

Wall Street News

Financials Soar Once Again (BlackRock +3.3%, Citi + 2.9%, CS +2.7%, DB +2.7%) - Apr. 16

April 16, 2019

Regulators

SEC and FINRA Compliance Outreach for Broker-Dealers

April 16, 2019

Wall Street News

Transformative People in Business, FINRA Settlements, Goldman Cuts … And Other Headlines and Headliners

April 16, 2019

Regulatory Sanctions

Conversion of Funds: When Enough Isn’t Enough

April 16, 2019

Hirings/Transitions

FINRA Recent Job Postings, as of April 15, 2019

April 16, 2019

Wall Street News

Financials Fall on Latest Q1 Earnings Reports (Goldman -3.9%, MetLife -1.4%, MStanley -1.3%) - Apr. 15

April 15, 2019

Regulatory Sanctions

FINRA Reports Disciplinary Actions Against 4 Firms, 40 Individuals

April 15, 2019

Wall Street News

Goldman and Citi Earnings, Paulson Transitioning to Family Office, Cyberattack (Un)Insurance … And Other Headlines and Headliners

April 15, 2019

People

Wells Fargo: Top 5 Women Who Could Run the Bank

April 15, 2019

Regulatory Sanctions

UITs: Failed Supervision at Hennion and Walsh

April 15, 2019

General News

APRIL 15: DEADLINE FOR FILING YOUR TAXES

April 15, 2019

Wall Street News

4/12 Weekly Update: Financialish 30 Index Again Beats Standard and Poor's 500

April 13, 2019

Wall Street News

Financials Soar on Strong JPMorgan Earnings (JPM +4.7%, MS +4.3%, BofA +3.8%) (Wells -2.6%) - Apr. 12

April 12, 2019

Wall Street News

Financials Stocks Soar, Wells Advisors Walk, FINRA Files Rules Changes … And Other Headlines and Headliners

April 12, 2019

Regulatory Sanctions

Red Flags Were Flying at Merrill Lynch

April 12, 2019

Wall Street News

Financial Sector Rally Led by Euro Banks (DB +2.3%, UBS +2.0%, CS +1.9%) - Apr. 11

April 11, 2019

Wall Street News

Cybersecurity Risks, Fintech Hiring, Harvard Goes Crypto, Shadow Banking Spotlight … And Other Headlines and Headliners

April 11, 2019

Regulatory Sanctions

An LPL Branch Manager Goes Rogue - Or - Who’s Supervising the Supervisor?

April 11, 2019

Wall Street News

Financial Stocks Rebound (Ameriprise +1.4%, Goldman +1.1%, Prudential +1.1%, Wells Fargo -0.8%) - Apr. 10

April 10, 2019

Wall Street News

SocGen Axing Jobs, Money Laundering Charges for StanChart and Lori Loughlin, HR Direct Deposit Fraud … And Other Headlines and Headliners

April 10, 2019

Regulatory Sanctions

A Present-Day ‘Rip Van Winkle’ Comes Full Circle with FINRA

April 10, 2019

Wall Street News

Financial Stocks Tank (MetLife -1.8%, Pru -1.8%, AMP -1.6%, MStanley -1.6%) - April 9

April 9, 2019

Wall Street News

Buffett Debunks Leverage, BofA as Financial Services Leader, Morgan Stanley and Uber, Lyft IPOs … And Other Headlines and Headliners

April 9, 2019

Regulatory Sanctions

Forgery: Presented With Choices, a Broker Goes With Option Two

April 9, 2019

Hirings/Transitions

FINRA Recent Job Postings, as of April 8, 2019

April 9, 2019

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