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Hirings/Transitions

FINRA Recent Job Postings, as of November 13

November 14, 2018

Wall Street News

Lucky '13' as Financial Stocks Rally (Barclays +4.8%, PNC +2.1%) - Nov. 13

November 14, 2018

Regulatory Sanctions

Supervision: Firm is 'All Thumbs' When It Came to Excessive Trading

November 13, 2018

Wall Street News

Financial Stocks in a Blood Bath (Goldman -7.5%, Barclays -4.6%) - Nov 12

November 12, 2018

Regulatory Sanctions

Books and Records: If You ‘See Something, Say Something’

November 12, 2018

Regulatory Sanctions

Supervision: Wearing Too Many Hats Proves Fatal

November 12, 2018

Wall Street News

Goldman (-3.9%), Citigroup (-3.0%) Lead Downward Spiral in Financial Stocks - Nov. 9

November 10, 2018

Wall Street News

Financials Closed Mixed (LPL Financial +2.0%, Prudential -3.7%) - Nov. 8

November 8, 2018

Regulatory Sanctions

Three-On-A-Match: Two FinOps Fined When Firm Hit with Financial Violations

November 8, 2018

Regulatory Sanctions

Broker Deleted Customer Records from Firm Database

November 8, 2018

Wall Street News

Cryptocurrencies Don't Keep Pace with Today's Equities Rally

November 7, 2018

Wall Street News

Financial Stocks Advance, Though Fall Short of Rally in Equity Markets - Nov. 7

November 7, 2018

Hirings/Transitions

FINRA Recent Job Postings, as of November 6

November 7, 2018

Wall Street News

Financials Sector Joins Market Rally (Piper +3%, ETrade +2%) - Nov. 6

November 6, 2018

Lawsuits/Arbitrations

Ex-UBS Compliance Officer on Trial for Insider Trading

November 6, 2018

People

JPMorgan Selling Trading Software to Investors ... And Other Financial Firms and People in the Headlines

November 6, 2018

Wall Street News

Financials Rally Ahead of Mid-Term Elections (BRK +5.1%, MET +3.4%, SST +2.8%) - Nov. 5

November 5, 2018

General News

A Cautionary Pre-Election Day Tale

November 5, 2018

Regulatory Sanctions

Rookie Mistakes by an Experienced Broker

November 5, 2018

Wall Street News

Ripple (+10%) Leads Cryptocurrencies to Win Over Financial Stocks - Nov. 2

November 2, 2018

Wall Street News

Financial Stock Winners Outpace Losers (MetLife +4.9%, Deutsche Bk +2.6%, Ameriprise -1.9%) - Nov. 2

November 2, 2018

Regulators

SEC Enforcement: Take a Bow for 2018

November 2, 2018

Wall Street News

Financials Stocks (Amex +1.3%) and Cryptocurrencies (Ripple +1.2%) Rise in Markets - Nov. 1

November 1, 2018

Wall Street News

Financials Stocks Rise, Though Trail Bigger Market Rally (DB +4.9%, AIG +4.4%) - Nov. 1

November 1, 2018

Regulatory Sanctions

A Firm’s COO Can’t Accept His Failure to Disclose

November 1, 2018

Rules & Regulations

BD and IA Registration Renewals ... And Other SEC / FINRA Headlines

November 1, 2018

Wall Street News

Financials Stocks and Cryptocurrencies Enjoy Strong Days - Oct. 31

October 31, 2018

Wall Street News

Three-Peat for Financial Sector - LPL (+9.4% over 3 Days) is Biggest Winner - Oct. 31

October 31, 2018

People

Goldman Invests in Crypto Custodian BitGo Holdings ... And Other People and Firm Headliners

October 31, 2018

Regulatory Sanctions

LPL Financial Fined $2.75Mn for Failing to Report Complaints and Suspicious Activities

October 31, 2018

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