BROWSE BY TOPIC
- Investments - Private
- Investor Protection
- Investments - Strategies
- Investments - Unsuitable
- Bad Advisors
- Bad Brokers
- Boiler Rooms
- Regulatory Sanctions
- Wall Street News
- Rules & Regulations
- Terminations/Cost Cutting
- Compliance Concepts
- General News
- Donald Trump & Co.
- Big Banks
Stories of Interest
- Sarah ten Siethoff is New Associate Director of SEC Investment Management Rulemaking Office
- Catherine Keating Appointed CEO of BNY Mellon Wealth Management
- Credit Suisse to Pay $47Mn to Resolve DOJ Asia Probe
- SEC Chair Clayton Goes 'Hat in Hand' Before Congress on 2019 Budget Request
- SEC's Opening Remarks to the Elder Justice Coordinating Council
- Massachusetts Jury Convicts CA Attorney of Securities Fraud
- Deutsche Bank Says 3 Senior Investment Bankers to Leave Firm
- World’s Biggest Hedge Fund Reportedly ‘Bearish On Financial Assets’
- SEC Fines Constant Contact, Popular Email Marketer, for Overstating Subscriber Numbers
- SocGen Agrees to Pay $1.3 Billion to End Libya, Libor Probes
- Cryptocurrency Exchange Bitfinex Briefly Halts Trading After Cyber Attack
- SEC Names Valerie Szczepanik Senior Advisor for Digital Assets and Innovation
- SEC Modernizes Delivery of Fund Reports, Seeks Public Feedback on Improving Fund Disclosure
- NYSE Says SEC Plan to Limit Exchange Rebates Would Hurt Investors
- Deutsche Bank faces another challenge with Fed stress test
- Former JPMorgan Broker Files racial discrimination suit against company
- $3.3Mn Winning Bid for Lunch with Warren Buffett
- Julie Erhardt is SEC's New Acting Chief Risk Officer
- Chyhe Becker is SEC's New Acting Chief Economist, Acting Director of Economic and Risk Analysis Division
- Getting a Handle on Virtual Currencies - FINRA
We seek to provide information, insights and direction that may enable the Financial Community to effectively and efficiently operate in a regulatory risk-free environment by curating content from all over the web.
Stay Informed with the latest fanancialish news.
NEWSLETTERS & ALERTS
THERE'S A SUCKER BORN EVERY MINUTE. But you don't have to be one when it comes to investing.
Every day, investors are cheated out of their life savings - often by trusted brokers or financial advisers. Most victims never know what hit them until it is too late. Old or unsophisticated investors blindly accept advice and recommendations, without ever looking at their monthly customer statements. Knowledgeable (and often greedy) investors are blind-sided by promises of out-sized profits. In all such cases, a rogue broker or adviser knew how to take full advantage of his or her targets' weaknesses.
Welcome to Financialish.com, which offers every level of investor go-to guidance on how to turn their financial weaknesses into strengths - and how to avoid many of the pitfalls of investing. What Financialish.com does not do is teach you how to invest - what stocks to buy, what funds to hold. Our informative and entertaining posts read like a proverbial roadmap to the tell-tale signs of financial crimes and scams, while our recommended safeguards help investors significantly reduce the risk of devastating financial losses due to criminal or violative activities by rogue players.
WISHING YOU SAFE AND SUCCESSFUL INVESTING.
HOWARD L. HAYKIN, Publisher and Editor
A born-and-bred New Yorker, Howard has over 30 years' experience on Wall Street. His financial, compliance and legal expertise, combined with an ethical approach to business, fits comfortably with his desire to serve as a 'financial watchdog' for everyday investors.
For the past 12 years, Howard has published and edited two of the leading websites that focus on regulatory, disciplinary and compliance issues impacting the financial services industry - Compliance-Insights.com and Financialish.com.
Prior to launching these sites, Howard worked directly with and for numerous broker-dealers, inter-dealer brokers, investment advisors and mutual fund companies. He served in compliance, accounting, managerial, consulting and auditing roles for such firms as: (i) Fidelity Investments; (ii) Nomura Securities; (iii) Ameriprise; (iv) GFI Group; (v) Westport Resources; (vi) Bear Stearns; (vii) Thomson McKinnon Securities (and affiliated advisor, TM Asset Management); and, (viii) Compliance Solutions.
Howard is a FINRA Industry Arbitrator and Arbitrator Chair, has served as expert witness in Wall Street arbitrations and labor disputes, and as an occasional speaker on Wall Street ethics and compliance. A non-practicing CPA, Howard was an audit professional with CPA firms, Deloitte LLP and MR Weiser. He holds an MBA in Accounting from New York’s Baruch College, and a BA in Economics from Brooklyn College.
Contact Info: Write to ... email@example.com, or Call ... 917.855.0965.