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Regulators

FINRA 2019 Priorities Letter (Part One) – Recurring Areas of Focus

January 22, 2019

Wall Street News

Financial Stocks Crash and Burn (UBS -4.9%, DB -3.2%, MS -2.9%) - Jan. 22

January 22, 2019

Regulators

How FINRA’s 2019 ‘Priorities Letter’ Differs from the Past

January 22, 2019

Wall Street News

State Street Axing 1,500, While Jamie Dimon is Paid $31Mn ... And Other Headlines and Headliners

January 22, 2019

Regulators

FINRA 2019 Annual Risk Monitoring and Examination Priorities Letter

January 22, 2019

Compliance Concepts

The Graying of America – Impact on FINRA Disciplinary Actions

January 22, 2019

Regulatory Sanctions

80 Years of Experience, Yet No Leniency from FINRA in Meting Out Sanctions

January 22, 2019

Wall Street News

Financials Lead Broad Market Rally Ahead of MLK Holiday Weekend (PNC +3.1%, BRK +3.0%, MS +2.9%) - Jan. 18

January 18, 2019

Regulatory Sanctions

FINRA ‘Conversion Therapy’ for Expense Report Cheaters

January 18, 2019

Wall Street News

Shutdown Hurts Financial Deregulation, Vanguard Founder John Bogle is Dead ... And Other Headlines and Headliners

January 18, 2019

Wall Street News

Morgan Stanley Earnings Report Weighs on Financial Sector (BNY +2.2%, BofA +1.9%, MS -4.4%, DB -4.0%)

January 17, 2019

Regulatory Sanctions

27 Error-Free Years in the Business, Then … Wham, You’re Outta Here!

January 17, 2019

Wall Street News

Citi Female Employees Earn Less, Goldman Reports 'Earnings Beat' ... And Other Headlines and Headliners

January 17, 2019

Wall Street News

Financial Stocks Soar on Strong Earnings from Goldman (GS +9.6%, DB +7.9%, BAC +7.2%) - Jan. 16

January 16, 2019

Regulatory Sanctions

Enablement: Financial West Broker Barred for Churning, ...

January 16, 2019

Hirings/Transitions

FINRA Recent Job Postings, as of January 15, 2019

January 16, 2019

Regulatory Sanctions

FINRA Reports Disciplinary Actions Against 8 Firms, 42 Individuals

January 16, 2019

Wall Street News

Most Financial Stocks Advance (Citi +4.2%, BNY Mellon +2.0%, Wells Fargo -1.6%) - Jan. 15

January 15, 2019

Regulatory Sanctions

Broker-Dealer Overpaid Customers' Third-Party Advisors

January 15, 2019

Wall Street News

Financial Stocks Advance on Positive Citigroup Earnings News (Citi +4%, State St +2.1%, Barclays +1.9%) - Jan. 14

January 14, 2019

Wall Street News

Goldman $5Bn Scandal and $500Mn Lawyer ... And Other Headlines and Headliners January 8, 2019

January 12, 2019

Wall Street News

Financials Close Week with Small Advance (BNY +1.3%, BofA +1.1%, DB -0.6%, BRK -0.5%, JPM -0.5%) - Jan 11

January 11, 2019

Regulators

For Those Pining for Some SEC Guidance During the Government Shutdown

January 11, 2019

Regulatory Sanctions

Required Disclosures for Publications That Qualify as Research Reports

January 11, 2019

Wall Street News

Financial Stocks Close the Session Mixed (LPL +1.8%, CS +1.6%, PNC -1.0%, Ameritrade -0.9%) - Jan. 10

January 10, 2019

Wall Street News

Cryptocurrencies: Another Reversal of Fortunes

January 10, 2019

Regulatory Sanctions

Commissions Were Paid to Non-Registered Third Parties

January 10, 2019

Regulatory Sanctions

Veteran Louisiana Broker Caught Violating Terms of His Outside Business Activities

January 10, 2019

Wall Street News

Financials Have Winning Day (E*Trade +2.4%, State Street +2.3%, LPL Fincl +2.3%) - Jan. 9

January 9, 2019

Regulatory Sanctions

Young Broker Gets 5 Months to Rethink Career Options

January 9, 2019

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