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We seek to provide information, insights and direction that may enable the Financial Community to effectively and efficiently operate in a regulatory risk-free environment by curating content from all over the web.

 

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Hirings/Transitions

FINRA September Job Postings, as of September 19, 2019

September 20, 2019

Wall Street News

JPMorgan Traders Charged with Rigging Markets, Wall Street Pay Slipping … And Other Headlined Persons and Companies

September 20, 2019

Regulatory Sanctions

FINRA Reports Disciplinary Actions Against 12 Firms, 48 Individuals

September 19, 2019

Regulatory Sanctions

Customers Left Hanging by Their Brokerage Firms

September 19, 2019

Wall Street News

Financial Stocks - Losers Outnumber Winners (AmEx -2.8%, DB -2.7%, CS -1.5%) - July 19

July 19, 2019

Regulatory Sanctions

FINRA Reports Disciplinary Actions Against 6 Firms, 30 Individuals

July 17, 2019

Wall Street News

Financial Stocks Close Mixed (Schwab +3.3%, DB +2.6%, Wells Fargo -3.0%) - July 16

July 16, 2019

Hirings/Transitions

FINRA Recent Job Postings, as of July 15, 2019

July 15, 2019

Wall Street News

Financial Stocks Start Week on Losing Note (Wells -1.4%, PNC -1.4%, JPM -1.2%) - July 15

July 15, 2019

Wall Street News

Citigroup Posts Good Q2 Earnings, Leon Black Stood by Pedofile Epstein, Deutsche Axing Bankers … And Other Headlined Persons and Companies

July 15, 2019

Wall Street News

7/12 Financialish Market Recap: Financial Stocks Advance in an Up-And-Down Market (Goldman Sachs, American Express are Standouts)

July 15, 2019

Wall Street News

Financial Stocks Continues Their Rally (DB +2.5%, Piper +2.2%, MStanley +1.6%) - July 12

July 13, 2019

Wall Street News

Financial Stocks Advance with Strong Rally (Goldman +2.6%, Schwab +2.0%, MStanley +2.0%) - July 11

July 12, 2019

Regulatory Sanctions

Deutsche Bank Probed Over 1MDB Scandal … And Other Fines, Sanctions and Legal Actions

July 11, 2019

Wall Street News

Financial Stocks are Market Winners (Ameritrade +2.0%, RayJay +1.6%, LPL + 1.5%) - July 9

July 10, 2019

Wall Street News

Financial Stocks Are Biggest Losers (DB -6.1%, BNY -3.4%, State St -3.0%) - July 8

July 8, 2019

Hirings/Transitions

FINRA Recent Job Postings, as of July 8, 2019

July 8, 2019

Wall Street News

Financial Stocks Advance in an Otherwise Down Market (DB +2.8%, Ameritrade + 1.9%, LPL +1.7%) - July 5

July 6, 2019

Regulatory Sanctions

Summit Brokerage Had Lax Supervision Over Excessive Trading and Consolidated Reports

July 4, 2019

Wall Street News

Financial Stocks Enter Holiday with a Rally (DB +2.9%, AIG +1.9%, PRU +1.5%) - July 3

July 3, 2019

Wall Street News

Financial Stocks: Losers Outnumber Winners (RayJay -1.7%, State Street -1.6%, Schwab -1.4%) - July 2

July 2, 2019

Wall Street News

Goldman’s Trading Rainmaker, Ex-NBA Star’s Bankruptcy, Bitcoin’s Precipitous Dive … And Other Headlines and Headliners

July 2, 2019

Rules & Regulations

Third-Party Recordkeeping - A Reminder

July 2, 2019

Hirings/Transitions

FINRA Recent Job Postings, as of July 1, 2019

July 2, 2019

Wall Street News

Financial Stocks Lead Broad Market Rally (E*Trade +2.4%, PNC 1.8%, MetLife +1.7%) - July 1

July 1, 2019

Wall Street News

6/28 Financialish Market Recap: Financial Stocks Post Solid Results for Week, Month (Goldman, Citigroup, BofA are Standouts)

June 29, 2019

Wall Street News

Financial Stocks Close June with Strong Rally (RayJay +2.9%, BofA +2.8%, JPM +2.7%, Citi +2.7%) - June 28

June 28, 2019

Terminations/Cost Cutting

Deutsche Bank Plans to Cut Up to 20,000 Jobs Globally

June 28, 2019

Wall Street News

DB Whistleblower Also Raised Flags at BofA, FINRA Annual Report, A Stock Exchange for Sneakers … And Other Headlines and Headliners

June 28, 2019

Regulatory Sanctions

Light Sanctions ($5K, 3 Months) for Untrustworthy Broker with Extended Outside Business Activities

June 28, 2019

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