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Regulatory Sanctions

FINRA Reports Disciplinary Actions Against 11 Firms, 30 Individuals

December 17, 2018

Wall Street News

Financial Stocks Decline, Though Not As Bad As Major Indices (Amex -4.3%, Barclays -3.6%, Goldman - 2.7%) - Dec. 17

December 17, 2018

Wall Street News

Tracking Cryptocurrencies: Sunday Not a Day of Rest for BItcoin and Other Alt-Currencies

December 17, 2018

Compliance Concepts

Municipal Compliance Outreach Program

December 17, 2018

Wall Street News

Upstart Robinhood Gets Push-Back, Jeffrey and Shira Minton Leaving SEC ... And Other Headlines and Headliners

December 17, 2018

Compliance Concepts

Abuse of Authority (FINRA Exam Findings – 5th and Concluding Part)

December 17, 2018

Compliance Concepts

Reasonable Diligence for Private Placements (FINRA Exam Findings – Part 4)

December 15, 2018

Compliance Concepts

Fixed Income Mark-Up Disclosures (FINRA Exam Findings – Part 3)

December 14, 2018

Wall Street News

Financial Stocks Continue to Fall (E*Trade -3.0%, Ameritrade - 2.5%, PNC Fincl -2.3%) - Dec. 13

December 13, 2018

Wall Street News

'Winter is Coming' for Bank Stocks ... And Other Headlines and Headliners

December 12, 2018

Wall Street News

Financial Stocks Advance, Led By Euro Banks (DB, Barclays, CS, UBS) - Dec. 12

December 12, 2018

Compliance Concepts

Suitability for Retail Customers (FINRA Exam Findings - Part 2)

December 12, 2018

Hirings/Transitions

FINRA Recent Job Postings, as of December 11

December 12, 2018

Wall Street News

Financials Squander Strong Opening and Close Lower (Barclays -2.2%, Wells Fargo -2.1%, BlackRock -2.0%) - Dec. 11

December 11, 2018

Compliance Concepts

FINRA 2018 Report on Examination Findings [First of a Series]

December 11, 2018

Features/Scandals

Madoff Ponzi Scandal - 10 Year Anniversary

December 11, 2018

Regulatory Sanctions

Blue Sheet Violations Cost Brokers $6Mn in Fines

December 11, 2018

Wall Street News

Financial Stocks Continue Slide (DB -4.1%, Prudential -3.%, WellsFargo -2.9%, BofA 02.6%) - Dec. 10

December 10, 2018

Wall Street News

Goldman Should Boost Reserves for 1MDB Fines ... And Other Headlines and Headliners

December 10, 2018

Features/Scandals

Bernie Madoff's Ponzi Scheme: What Has Become of His Inner Circle

December 10, 2018

Wall Street News

Financials Had Tough Week - Cryptos Had Worse Week

December 8, 2018

Wall Street News

Trump Administration's Trade Confusion Causes Stocks to Tank (AIG -3.8%, E*Trade -3.5%, TDAmeritrade -3.5%) - Dec. 7

December 7, 2018

Regulatory Sanctions

Broker Shares Customer’s Losses

December 7, 2018

Wall Street News

Most Financials Continue to Tank (Citi -3.5%, AIG -3.4%, MetLife -3.0%) - Dec. 6

December 6, 2018

Regulatory Sanctions

Private Placements: Flunking the Basics

December 6, 2018

Wall Street News

Misery Loves Company - Financial Stocks v. Cryptocurrencies

December 6, 2018

Features/Scandals

Troubles in WellsFargoLand

December 6, 2018

Wall Street News

Financials Crash on Trump Trash Talks About China Trade Deal (E*Trade -8%, StateStreet -7%) - Dec. 4

December 4, 2018

Wall Street News

Deutsche Bank’s Troubles Are Donald Trump’s Troubles ... And Other Headlines and Headliners

December 4, 2018

Wall Street News

For Those Who Like to Plan Ahead - NYSE Announces 2019, 2020 and 2021 Calendar

December 4, 2018

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