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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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Wall Street News

Millennials Stick with Cryptocurrency, Brokers Win Expungement ... and Other Sanctions, Headlines & Headliners

November 21, 2018

Wall Street News

Financials vs. Cryptos - At Least Financials Suffered Only Single Digit Losses (Goldman Sachs -3.5%; Bitcoin Cash -33.6%)

November 20, 2018

Wall Street News

Big Selloff for Financials Stocks (DB -5.6%, CS -4.7%, GS -3.4%) - Nov. 20

November 20, 2018

Hirings/Transitions

FINRA Recent Job Postings, as of November 20

November 20, 2018

Wall Street News

Cryptos Continue Collapse, As Bitcoin Falls Below $5,000 - Nov. 19

November 19, 2018

Wall Street News

Most Financial Stocks Close Lower (BNYMellon +1.5%, Schwab -2.1%, Goldman -1.9%) - Nov. 19

November 19, 2018

Regulatory Sanctions

MetLife Broker Takes the Knicks to the Bank

November 19, 2018

Wall Street News

Financials Had a Bad Week - But Cryptos 'Took a Bath'

November 18, 2018

Regulatory Sanctions

RR/IA Charged in 'Fixed Rate' Fraud - And Other SEC Headlines

November 17, 2018

Regulatory Sanctions

FINRA Reports Disciplinary Actions Against 13 Firms, 39 Individuals

November 17, 2018

Wall Street News

Financial Stocks End Week Mixed (CME +2.1%, MetLife -1.9%) - Nov. 16

November 16, 2018

Regulatory Sanctions

Expense Reports: 2 Little Piggies at Piper Jaffray

November 16, 2018

Hirings/Transitions

FINRA Recent Job Postings, as of November 13

November 14, 2018

Wall Street News

Lucky '13' as Financial Stocks Rally (Barclays +4.8%, PNC +2.1%) - Nov. 13

November 14, 2018

Regulatory Sanctions

Supervision: Firm is 'All Thumbs' When It Came to Excessive Trading

November 13, 2018

Wall Street News

Financial Stocks in a Blood Bath (Goldman -7.5%, Barclays -4.6%) - Nov 12

November 12, 2018

Regulatory Sanctions

Books and Records: If You ‘See Something, Say Something’

November 12, 2018

Regulatory Sanctions

Supervision: Wearing Too Many Hats Proves Fatal

November 12, 2018

Wall Street News

Goldman (-3.9%), Citigroup (-3.0%) Lead Downward Spiral in Financial Stocks - Nov. 9

November 10, 2018

Wall Street News

Financials Closed Mixed (LPL Financial +2.0%, Prudential -3.7%) - Nov. 8

November 8, 2018

Regulatory Sanctions

Three-On-A-Match: Two FinOps Fined When Firm Hit with Financial Violations

November 8, 2018

Regulatory Sanctions

Broker Deleted Customer Records from Firm Database

November 8, 2018

Wall Street News

Cryptocurrencies Don't Keep Pace with Today's Equities Rally

November 7, 2018

Wall Street News

Financial Stocks Advance, Though Fall Short of Rally in Equity Markets - Nov. 7

November 7, 2018

Hirings/Transitions

FINRA Recent Job Postings, as of November 6

November 7, 2018

Wall Street News

Financials Sector Joins Market Rally (Piper +3%, ETrade +2%) - Nov. 6

November 6, 2018

Lawsuits/Arbitrations

Ex-UBS Compliance Officer on Trial for Insider Trading

November 6, 2018

People

JPMorgan Selling Trading Software to Investors ... And Other Financial Firms and People in the Headlines

November 6, 2018

Wall Street News

Financials Rally Ahead of Mid-Term Elections (BRK +5.1%, MET +3.4%, SST +2.8%) - Nov. 5

November 5, 2018

General News

A Cautionary Pre-Election Day Tale

November 5, 2018

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