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Wall Street News

Financial Stocks Close Mixed (DB +3.5%, LPL +1/9%, CME -3.2%, ICE -2.3%) - June 26

June 26, 2019

Regulatory Sanctions

Troubled Events of Past and Present Can Stick to a Broker Like ‘White on Rice’

June 26, 2019

Regulatory Sanctions

Broker Risks His Career on a Friendship, And Loses

June 26, 2019

Wall Street News

HSBC's Money Laundering Scandal, Murky Waters for SEC's Reg. BI … And Other Headlines and Headliners

June 25, 2019

Wall Street News

Financial Stocks Join in On Broad Market Decline (Ameriprise -2.7%, LPL -1.5%, Citi -1.3%) - June 25

June 25, 2019

Regulatory Sanctions

Wedbush Securities: Tough Year Just Got Tougher

June 25, 2019

People

Linda Lacewell Confirmed as New Superintendent of NYSDFS - The Most Powerful Securities Regulator in New York

June 25, 2019

Hirings/Transitions

FINRA Recent Job Postings, as of June 24, 2019

June 24, 2019

Wall Street News

Financial Stocks Decline, Led by Discount Brokers (Ameritrade -3.8%, Schwab -3.6%, E*Trade -3.6%) - June 24

June 24, 2019

Regulatory Sanctions

SEC Wins Jury Trial vs. Broker Who Defrauded Customers by Churning Accounts (And Whose Partner Copped a Plea)

June 24, 2019

Wall Street News

Goldman’s 1MDB Settlement Offer, SEC’s ‘Capital / Segregation’ and ‘Best Interest’ Rules … And Other Headlines and Headliners

June 24, 2019

Wall Street News

Bitcoin Mania, As Cryptocurrencies Sing ‘Fly Me to the Moon’

June 23, 2019

Wall Street News

6/21 Weekly Recap: Financial Stocks Advance, But Lag the Broad Market ... With BLK Up, USB Down

June 22, 2019

Wall Street News

Financial Stocks Closed Mixed, Slightly Down (Wells +2.3%, RayJay +2.1%, Piper -1.9%, Ameriprise -1.7%) - June 21

June 21, 2019

Regulatory Sanctions

A Case for Re-Taking Registration Exams

June 21, 2019

Wall Street News

Kusher/Deutsche Bank Face Probe, Wells Names New 'CFO', States Consider Fiduciary Rules … And Other Headlines and Headliners

June 20, 2019

Wall Street News

Financial Stocks Rally (BlackRock +2.4%, MetLife +1.3%, AIG +1.2%, Pru +1.2%) - June 20

June 20, 2019

Regulatory Sanctions

Could Any of These Careers Been Saved?

June 20, 2019

Rules & Regulations

Bridging the Regulatory Gap Between the Securities and Crypto Markets

June 19, 2019

Wall Street News

Financial Stocks Close Mixed, As Fed Says 'No' to Rate Cuts (DB +1.4%, BLK +1.3%, SCHW -2.5%, RJF -2.4%) - June 19

June 19, 2019

Regulatory Sanctions

Non-Registered Person Pays Dearly for Managing Small Undisclosed Brokerage Account

June 19, 2019

Wall Street News

Deutsche Bank Overhauls, Facebook Intros Libra, Beyond Meat Sees 'Meatioric' Rise … And Other Headlines and Headliners

June 19, 2019

Compliance Concepts

FINRA Arbitration Panel Grants Expungement Based on Head-Scratching Logic

June 19, 2019

Wall Street News

Financial Stocks Lead Broad Market Rally (DB +3.7%, BofA +2.5%, Citi +2.2%, Goldman +2.2%) - June 18

June 18, 2019

Regulatory Sanctions

Veteran Broker Chose to ‘Fall on His Sword’ in Dispute Over Customer Loan

June 18, 2019

Regulatory Sanctions

Dealing in Penny Stocks Without Adequate AML Policies and Procedures

June 18, 2019

Regulatory Sanctions

FINRA Reports Disciplinary Actions Against 7 Firms, 43 Individuals

June 17, 2019

Wall Street News

Financial Stocks Tank, While All Other Market Sectors Rally (Ameriprise -3.8%, USBancorp -2.1%) - June 17

June 17, 2019

Hirings/Transitions

FINRA Recent Job Postings, as of June 17, 2019

June 17, 2019

Wall Street News

Deutsche Closing, Goldman Simplifying, Citi Combining, UBS Losing … And Other Headlines and Headliners

June 17, 2019

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