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Wall Street News

Financials Rebound As We Enter Presidents' Day Weekend (DB +5.3%, AIG +5.3%, MS +3.1%, GS +3.1) - Feb. 15

February 15, 2019

Wall Street News

Buffett Buys Big Banks, Russia Offers to Buy Barclays Stake, Credit Suisse Posts Annual Profit ! ... ... And Other Headlines and Headliners

February 15, 2019

Regulatory Sanctions

FINRA Reports Disciplinary Actions Against 13 Firms, 27 Individuals

February 15, 2019

Wall Street News

Valentine's Day for Financials - They All Close in the Red (AIG -9%, CS -2.6%, DB -2.3%, Pru -2.3%, ...) - Feb. 14

February 14, 2019

Technology/Internet

JPMorgan Creates Digital Coin for Payments

February 14, 2019

Regulatory Sanctions

If You Must Borrow from a Customer, At Least Document the Loan

February 14, 2019

Wall Street News

Financial Stocks Have Mixed Day (Credit Suisse +0.9%, PNC Financial -1.4%) - Feb. 13

February 13, 2019

Wall Street News

Phishing Emails Against B/Ds, Ex-Senior Attorney at Apple Charged with Insider Trading ... And Other Headlines and Headliners

February 13, 2019

Regulatory Sanctions

In a Flash, This Broker Is Out of a Job

February 13, 2019

Hirings/Transitions

FINRA Recent Job Postings, as of February 12, 2019

February 13, 2019

Wall Street News

Financial Stocks Lead the Market Rally, Led by BlackRock (+3%), Wells Fargo (+ 2.9%) - Feb. 12

February 12, 2019

Regulatory Sanctions

Pattern of Violations, Starting with Broker’s Use of Personal Email

February 12, 2019

Wall Street News

BofA's Moynihan Gets $26.5Mn, M. Stanley Begins Shopping Spree, FINRA's Small Firm 'Report' ... And Other Headlines and Headliners

February 12, 2019

Wall Street News

Financials End 4-Day Losing Streak - But Not By Much (DB +1.6%, MS -1.5%) - Feb. 11

February 11, 2019

Wall Street News

Financial Stocks Continue 4-Day Slide (ICE +0.8%, DB -2.0%, MS -1.6%) - Feb. 8

February 8, 2019

Wall Street News

Financial Stocks are Biggest Losers in the Market (Deutsche Bk -6.5%, MetLife -3.7%, Wells Fargo -2.4%%) - Feb. 7

February 7, 2019

Regulatory Sanctions

Small Investment Banking Firm Sloppy with Registrations

February 7, 2019

Wall Street News

Goldman, Paribas, HSBC, SocGen are Cost Cutting, While Wells Fargo Has New Audit Chief ... And Other Headlines and Headliners

February 7, 2019

Wall Street News

Financial Stocks Close Down - (Schwab -1.0%, State Street, Ameritrade, Berkshire -0.9%) - Feb. 6

February 6, 2019

Regulatory Sanctions

Market Access and the Need for Risk Management Controls

February 6, 2019

Hirings/Transitions

FINRA Recent Job Postings, as of February 5, 2019

February 6, 2019

Wall Street News

Financial Stocks are Net Losers on a Day the Markets Rally (UBS +1.6%, Ameritrade -2.3%, CME -1.5%) - Feb. 5

February 5, 2019

Wall Street News

Deutsche Cuts Back Correspondent Banking, The Future of RegTech ... And Other Headlines and Headliners

February 5, 2019

People

Elizabeth McFadden Named Deputy General Counsel at SEC

February 5, 2019

Regulatory Sanctions

Too Few Supervisors for Too Many RRs and V/A Contracts

February 5, 2019

Wall Street News

Financial Stocks Rise, But Trail the Broad Market Rally (Piper +2.8%, BofA +1.8%, PNC +1.6%) - Feb. 4

February 4, 2019

Regulatory Sanctions

Too Little Too Late: FINRA Deals with a Firm Full of Bad Brokers

February 4, 2019

Regulatory Sanctions

Customer Adlibs During Firm Inquiry Rather Than Use Broker’s Scripted Message

February 4, 2019

Wall Street News

Financial Stocks Open February with a Rally (LPL +6.8%, Ameritrade +2.0%, Piper +1.9%) - February 1

February 1, 2019

Wall Street News

Financial Stocks Close Month on Mixed Note (Ameriprise +5.3%, Deutsche -4.4%, Goldman -2.2%) - Jan. 31

January 31, 2019

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