BROWSE BY TOPIC
- Bad Brokers
- Compliance Concepts
- Investor Protection
- Investments - Unsuitable
- Investments - Strategies
- Investments - Private
- Features/Scandals
- Companies
- Technology/Internet
- Rules & Regulations
- Crimes
- Investments
- Bad Advisors
- Boiler Rooms
- Hirings/Transitions
- Terminations/Cost Cutting
- Regulators
- Wall Street News
- General News
- Donald Trump & Co.
- Lawsuits/Arbitrations
- Regulatory Sanctions
- Big Banks
- People
TRENDING TAGS
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
ABOUT FINANCIALISH
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.
SUBSCRIBE FOR
NEWSLETTERS & ALERTS
FOLLOW US
Financials Stocks Soar, Wells Advisors Walk, FINRA Files Rules Changes … And Other Headlines and Headliners
April 12, 2019
Compiled By ... Howard Haykin
FINES, SANCTIONS, LEGAL ACTIONS:
- SEC Charges Dubai-Based Advisory Firm and Its Founder [SEC]
- Banker's Affair with Customer's Husband Lands Safra in FINRA Arbitration [BrokeAndBroker]
- Former IA Rep at RGT Capital Mgmt Barred for Directing Clients to Invest in Failing Company [SEC]
- Woodbridge Execs Arrested, Charged in $1.2Bn Ponzi Scheme [WealthMgmt]
- LPL Financial to Pay $499K to Texas for Unregistered Securities Sales [AdvisorHub]
PEOPLE & COMPANIES:
- Financial Stocks Getting Big Boost After JPMorgan Chase, Wells Fargo Earnings Beats [MarketWatch]
► JPMorgan Profit Beat Eases Fear Of Slowing Economy [Reuters]
► Wells Fargo's Revenue Outlook Spooks Investors [Reuters]
- Deutsche Bank CEO and Chairman to Stay in Top Roles After Possible Merger - Spiegel [Reuters]
- Edelman Financial Engines Pursues Departing Advisors [AdvisorHub]
- At Wells Fargo, More Financial Advisors Exit [Barron’s]
HEADLINES & HEADLINERS:
- FINRA Makes Permanent Provisions of Reg. NMS Plan to Address Extraordinary Market Volatility [FINRA]
- FINRA Proposes Modernization of Rule 5110, CorpFin Rule – Underwriting Terms and Arrangements [FINRA]
- Hidden Bond Market Dangers - Ultra Low Yields, Reduced Liquidity - Expose Traders to $2 Trillion Wipeout [Bloomberg]
- Rich Women Increasingly Calling the Shots, Wealth Heads Say [Bloomberg]
- Jamie Dimon: The U.S. Economic Expansion ‘Could Go on for Years’ [CNBC]
