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Wall Street News

TGIF - Financial Stocks 'Tank' for Fourth Straight Day (LPL -7.5%, AMTD - 4.6%, SCHW -4.6%, Citi -4.6%) - Mar. 22

March 22, 2019

Wall Street News

Financial Stocks Crash, Big Payday at DB and CS, FINRA Sees Budget Gap … And Other Headlines and Headliners

March 22, 2019

Wall Street News

Most Financials Close Down, While the Rest of the Market Soars (Piper + 1.6%, Deutsche -4.0%, Barclays -2.7%) - Mar. 21

March 21, 2019

Regulatory Sanctions

Suppose FINRA Enforcement Dedicated an Exam Team to Private Placements

March 21, 2019

Wall Street News

Wells, Citi, UBS Hit with Big Fines, DB-USA Staff on Heightened Uncertainty … And Other Headlines and Headliners

March 21, 2019

Wall Street News

Financial Stocks 'Crash and Burn' (MetLife -3.7%, E*Trade -3.5%, BofA -3.4%, Goldman -3.4%) - Mar. 20

March 20, 2019

Regulatory Sanctions

Broker Accommodates Imposter Posing as the Customer

March 20, 2019

Wall Street News

Financial Stocks Collapse in Afternoon Trading (DB -2.3%, Piper -2.0%, PNC -1.8%) - Mar. 19

March 19, 2019

Regulatory Sanctions

Unauthorized Discretion: 4 FINRA Sanctions, 2 Terminations

March 19, 2019

Wall Street News

Goldman Sets New Hiring Targets, JPMorgan Hacker Helping the U.S. ... And Other Headlines and Headliners

March 19, 2019

Hirings/Transitions

FINRA Recent Job Postings, as of March 18, 2019

March 19, 2019

Wall Street News

Financial Stocks Lead a Broad Market Rally (DB +4.2%, CS +2.4%, UBS +2.3%, GS +2.1%) - Mar. 18

March 18, 2019

Regulatory Sanctions

Investment Adviser, Former COO/CCO Settle Auction Fraud Charges

March 18, 2019

Regulatory Sanctions

Cybercrimes and Identity Theft: Talking About Auction Fraud …

March 18, 2019

Wall Street News

Rate-Rigging Dismissal, No to Bitcoin Futures, TPG Exec's Big-$$$ Risk, Bank CEO Pay Hikes ... And Other Headlines and Headliners

March 16, 2019

Wall Street News

Financial Stocks Close the Week with a Rally (Ameriprise +3.1%, Citi +1.7, MorganStanley + 1.6%) - Mar. 15

March 15, 2019

Regulatory Sanctions

FINRA Reports Disciplinary Actions Against 4 Firms, 27 Individuals

March 15, 2019

People

SEC Promotes Jason Burt to Associate Regional Director for Enforcement

March 15, 2019

Regulatory Sanctions

SEC Capitulates to Wedbush Securities Over Supervisory Failures

March 15, 2019

Terminations/Cost Cutting

‘Dreaded Bloodbath’ Has Begun at Goldman Sachs

March 14, 2019

Wall Street News

Financial Stocks Rally (Schwab +2%, E*Trade +1%, Piper +1%) - Mar,. 14

March 14, 2019

Wall Street News

Tim Sloan $1Mn Raise, RBC Expanding, Reverse Mortgage Comeback ... And Other Headlines and Headliners

March 14, 2019

Wall Street News

Cryptocurrencies: A Less Volatile Start to 2019

March 14, 2019

Wall Street News

Financials Lead Broad Market Rally (DB +2.3%, BCS +1.8%, AIG +1.7%) - Mar. 13

March 13, 2019

Wall Street News

College-Entrance Bribery Scheme, Wells Fargo CEO Testimony ... And Other Headlines and Headliners

March 13, 2019

Regulatory Sanctions

Firm Ticketed for Routing Mismarked Orders

March 13, 2019

Hirings/Transitions

FINRA Recent Job Postings, as of March 12, 2019

March 13, 2019

Wall Street News

Financial Stocks Close Mixed (E*Trade +1.5%, Deutsche Bank -3.0%) - Mar. 12

March 12, 2019

Regulatory Sanctions

79 Investment Advisors Plead Mea Culpa ‘All the Way to the Bank’ on Mutual Fund Sales

March 12, 2019

Regulatory Sanctions

How Wells Fargo Settled with the SEC on Mutual Fund Sales Violations

March 12, 2019

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