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Hirings/Transitions

FINRA Recent Job Postings, as of July 15, 2019

July 15, 2019

Wall Street News

Financial Stocks Start Week on Losing Note (Wells -1.4%, PNC -1.4%, JPM -1.2%) - July 15

July 15, 2019

Wall Street News

Citigroup Posts Good Q2 Earnings, Leon Black Stood by Pedofile Epstein, Deutsche Axing Bankers … And Other Headlined Persons and Companies

July 15, 2019

Wall Street News

7/12 Financialish Market Recap: Financial Stocks Advance in an Up-And-Down Market (Goldman Sachs, American Express are Standouts)

July 15, 2019

Wall Street News

Financial Stocks Continues Their Rally (DB +2.5%, Piper +2.2%, MStanley +1.6%) - July 12

July 13, 2019

Wall Street News

Financial Stocks Advance with Strong Rally (Goldman +2.6%, Schwab +2.0%, MStanley +2.0%) - July 11

July 12, 2019

Regulatory Sanctions

Deutsche Bank Probed Over 1MDB Scandal … And Other Fines, Sanctions and Legal Actions

July 11, 2019

Wall Street News

Financial Stocks are Market Winners (Ameritrade +2.0%, RayJay +1.6%, LPL + 1.5%) - July 9

July 10, 2019

Wall Street News

Financial Stocks Are Biggest Losers (DB -6.1%, BNY -3.4%, State St -3.0%) - July 8

July 8, 2019

Hirings/Transitions

FINRA Recent Job Postings, as of July 8, 2019

July 8, 2019

Wall Street News

Financial Stocks Advance in an Otherwise Down Market (DB +2.8%, Ameritrade + 1.9%, LPL +1.7%) - July 5

July 6, 2019

Regulatory Sanctions

Summit Brokerage Had Lax Supervision Over Excessive Trading and Consolidated Reports

July 4, 2019

Wall Street News

Financial Stocks Enter Holiday with a Rally (DB +2.9%, AIG +1.9%, PRU +1.5%) - July 3

July 3, 2019

Wall Street News

Financial Stocks: Losers Outnumber Winners (RayJay -1.7%, State Street -1.6%, Schwab -1.4%) - July 2

July 2, 2019

Wall Street News

Goldman’s Trading Rainmaker, Ex-NBA Star’s Bankruptcy, Bitcoin’s Precipitous Dive … And Other Headlines and Headliners

July 2, 2019

Rules & Regulations

Third-Party Recordkeeping - A Reminder

July 2, 2019

Hirings/Transitions

FINRA Recent Job Postings, as of July 1, 2019

July 2, 2019

Wall Street News

Financial Stocks Lead Broad Market Rally (E*Trade +2.4%, PNC 1.8%, MetLife +1.7%) - July 1

July 1, 2019

Wall Street News

6/28 Financialish Market Recap: Financial Stocks Post Solid Results for Week, Month (Goldman, Citigroup, BofA are Standouts)

June 29, 2019

Wall Street News

Financial Stocks Close June with Strong Rally (RayJay +2.9%, BofA +2.8%, JPM +2.7%, Citi +2.7%) - June 28

June 28, 2019

Terminations/Cost Cutting

Deutsche Bank Plans to Cut Up to 20,000 Jobs Globally

June 28, 2019

Wall Street News

DB Whistleblower Also Raised Flags at BofA, FINRA Annual Report, A Stock Exchange for Sneakers … And Other Headlines and Headliners

June 28, 2019

Regulatory Sanctions

Light Sanctions ($5K, 3 Months) for Untrustworthy Broker with Extended Outside Business Activities

June 28, 2019

Regulatory Sanctions

Merrill Settles 'Spoofing' Charges, LPL Fined for Unregistered Brokers … And Other Regulatory Cases

June 28, 2019

Wall Street News

Financial Stocks Surge (Credit Suisse +2.6%, Piper +2.5%, DB +2.3%) - June 27

June 27, 2019

People

SEC Executive Staff: Advisors to Chairman Clayton

June 27, 2019

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

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