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Wall Street News

5/17 Weekly Update: Financial Stocks Had Bad Week, As Financialish-30-Index Drops 2-1/2%

May 20, 2019

Wall Street News

Financial Stocks End Week with Sizable Losses (Barclays -2.1%, StateStreet -2.0%, LPL -1.9%) - May 17

May 17, 2019

Wall Street News

Cherry-Picking, Opioid Addiction, Amazon Investments, FX Probe Fines ... And Other Headlines and Headliners

May 17, 2019

Regulatory Sanctions

Putting a $300,000 Price Tag on This Broker-Dealer’s WSPs

May 17, 2019

Wall Street News

Financial Stocks Lead a Strong Market Rally (Schwab +2.3%, Ameritrade +2.0%, Piper +2.0%) - May 16

May 16, 2019

Regulatory Sanctions

Broker-Dealer and 2 Executives Found Guilty of Fraud by Federal Jury

May 16, 2019

Regulatory Sanctions

FINRA Reports Disciplinary Actions Against 13 Firms, 24 Individuals

May 16, 2019

Wall Street News

Financial Stocks Fall Amid a Broad Market Rally (Schwab -3.6%, Ameritrade -2.8%, E*Trade -1.7%) - May 15

May 15, 2019

Wall Street News

UBS Job Cuts, Bitcoin Price Run-Up, Fidelity Stock Lending ... And Other Headlines and Headliners

May 15, 2019

Wall Street News

Financial Stocks Close Up After Starting Day Like 'Gangbusters' (Ameritrade +2.9%, LPL +2.8%, Pru +2.5%) - May 14

May 14, 2019

Regulatory Sanctions

Private Securities Transactions: More Tales from the Crypt

May 14, 2019

Hirings/Transitions

FINRA Recent Job Postings, as of May 13, 2019

May 13, 2019

Wall Street News

Financial Stocks Collapse in a Bear Market (Citi -5/2%, Pru -5.0%, MStanley -4.7%) - May 13

May 13, 2019

Regulatory Sanctions

Broker Who Wore Too Many Hats Got the Boot

May 13, 2019

Wall Street News

Brokers v. Big Broker-Dealers, SEC Regulation of ICOs ... And Other Headlines and Headliners

May 13, 2019

Wall Street News

Missed the Big Bitcoin Rally? No Worry, It's Likely to Come Back Down

May 12, 2019

Wall Street News

5/10 Weekly Update: Financialish-30-Index and Standard-And-Poor's-500 Take Losses for the Week

May 11, 2019

Wall Street News

Financial Stocks Advance on Afternoon Rally (CME +1.6%, AIG +1.6%, DB +1.3%) - May 10

May 10, 2019

Crimes

Two Internal Auditors Fall Prey to the Temptation of Insider Information

May 10, 2019

Wall Street News

Redefining Leveraged Loan Market (JPM), Earning Miles on Bank Accounts (Citi), Breaching Binance and Anthem ... And Other Headlines and Headliners

May 10, 2019

Wall Street News

Financial Stocks Close Mixed in a Topsy-Turvy Market (AIG +1.7%, Ameritrade +1.1%, LPL -1.9%, UBS -1.2%) - May 9

May 9, 2019

Wall Street News

Financial Stocks Decline in Afternoon Trading (Piper -1.7%, Ameriprise -0.9, Goldman -0.8%) - May 8

May 8, 2019

Regulatory Sanctions

Broker Overindulges in a Firm's Permission to Use Personal Email

May 8, 2019

Compliance Concepts

OCIE Offers Guidance on Complying with Regulation S-P

May 8, 2019

Wall Street News

AIG Nails It! But Other Financial Stocks Tank in a Down Market (DB -3.6%, Citi-3.2%, RayJay -3.1%) - May 7

May 7, 2019

Features/Scandals

Bernie Madoff Scandal: Another Chapter Closes

May 7, 2019

People

Aderton Named Co-Chief of SEC Enforcement's Asset Management Unit

May 7, 2019

Compliance Concepts

FINRA Offers Guidance on AML Programs

May 7, 2019

Wall Street News

Goldman's Hugely Profitable Uber Investment, CBOE and NYSE Disciplinary Actions, Fidelity's Near-Term Crypto Trading ... And Other Headlines and Headliners

May 7, 2019

Regulatory Sanctions

This Research Analyst ‘Didn’t Give Up His Day Job’

May 6, 2019

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