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
UBS Job Cuts, Bitcoin Price Run-Up, Fidelity Stock Lending ... And Other Headlines and Headliners
May 15, 2019
- - Compiled by Howard Haykin
FINES, SANCTIONS, LEGAL ACTIONS:
- 866 Trades in 15 Leveraged ETFs for 47 Customers Ends with 1 Bar [BrokeAndBroker]
- Former Morgan Stanley Branch Manager Wins Expungement of Failure to Supervise Claims [BrokeAndBroker]
- Cantor Fitzgerald Doesn’t Want This Woman Talking About Her (Coffee) Mug in Court [Bloomberg]
PEOPLE & COMPANIES:
- Wells Fargo CEO Search Reportedly Hobbled by Pay Limitations [Reuters]
► U.S. Bank Regulator to Review Wells Fargo Pick for Chief Executive [Reuters]
- Fidelity Drops Goldman by Bringing Securities Lending In-House [Bloomberg]
- Uber Blame Game Focuses on Morgan Stanley After Shares Drop [Bloomberg]
- Ex-Goldman Star Trader Pivots from Hedge Funds to Red-Hot ETF Industry [Bloomberg]
- UBS Looks to Machine Learning to Plug FX Liquidity Gaps [Reuters]
- Bank of America Employees Get First Pay Bump on Road to $20/Hour Minimum Wage [CNBC]
- UBS Eliminates More Than 150 (Back Office) Jobs [Bloomberg]
- HighTower Withdraws from Broker Protocol, Calls it Irrelevant to New Business Model [AdvisorHub]
HEADLINES & HEADLINERS:
- Here’s the Net Worth of the Average American Family [CNBC]
- Third of Female Lawyers Have Been Sexually Harassed, Report Finds [Bloomberg]
- Why Is Bitcoin Surging? Alternative Data Shows It’s Grown-Up [Bloomberg]
► Bitcoin's Surge to Almost $8,000 Rekindles Memories of Bubble [Bloomberg]
► Bitcoin Adds Market Share in Recovery in Crypto Prices [Bloomberg]
► Rumors Fueling Crypto Rally Get Debunked, Leaving Enthusiasts Deflated [Bloomberg]
- Beyond Hollywood, Part II: AML Priorities and Best Practices [FINRA Podcast]
- Fate Worse Than Zero Finally Arrives in Fund Land [Bloomberg]
- WhatsApp Says Malicious Spyware Attack Has All the ‘Hallmarks’ of Government-Sponsored Surveillance [MarketWatch]
