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Regulatory Sanctions

If You Must Borrow from a Customer, At Least Document the Loan

February 14, 2019

Wall Street News

Financials End 4-Day Losing Streak - But Not By Much (DB +1.6%, MS -1.5%) - Feb. 11

February 11, 2019

Wall Street News

Financial Stocks are Net Losers on a Day the Markets Rally (UBS +1.6%, Ameritrade -2.3%, CME -1.5%) - Feb. 5

February 5, 2019

Wall Street News

Financial Stocks Rise, But Trail the Broad Market Rally (Piper +2.8%, BofA +1.8%, PNC +1.6%) - Feb. 4

February 4, 2019

Wall Street News

Financial Stocks Open February with a Rally (LPL +6.8%, Ameritrade +2.0%, Piper +1.9%) - February 1

February 1, 2019

Wall Street News

Financial Stocks Close Month on Mixed Note (Ameriprise +5.3%, Deutsche -4.4%, Goldman -2.2%) - Jan. 31

January 31, 2019

Wall Street News

Financial Stocks Close Mixed (LPL +1.4%, BNY +1.2%, DB -2.2%, ICE -1.1%) - Jan. 24

January 24, 2019

Wall Street News

Financial Stocks: Losers Outnumber Winners (DB +2.3%, BCS +1.2%, LPL -1.7%, ETFC -1.6%) - Jan. 23

January 24, 2019

Wall Street News

Financial Stocks Close the Session Mixed (LPL +1.8%, CS +1.6%, PNC -1.0%, Ameritrade -0.9%) - Jan. 10

January 10, 2019

Wall Street News

Financials Have Winning Day (E*Trade +2.4%, State Street +2.3%, LPL Fincl +2.3%) - Jan. 9

January 9, 2019

Wall Street News

Financial Stocks: Winners Outpace Losers (E*Trade +1.7%, TD Ameritrade +1.5%, ICE -1.7%) - Jan. 8

January 8, 2019

Wall Street News

Financial Stocks Creep Higher (DB +2.1%, STT +1.2%, LPL +1.2%, ICE -3.1%) - Jan. 7

January 7, 2019

Wall Street News

Financials Crash and Burn Along with Rest of the Market (Berkshire -5.6%, Raymond James -3.4%) - Jan. 3

January 3, 2019

Wall Street News

Financial Stocks Close 2018 On An Uptick (Goldman +2.5%, LPL +2.1%, AIG +2.0%) - December 31

December 31, 2018

Wall Street News

Financial Sector: More Losers (BNY, State Street) Than Winners (LPL, Goldman) - Dec 18

December 18, 2018

Wall Street News

Trump Administration's Trade Confusion Causes Stocks to Tank (AIG -3.8%, E*Trade -3.5%, TDAmeritrade -3.5%) - Dec. 7

December 7, 2018

Wall Street News

Most Financials Continue to Tank (Citi -3.5%, AIG -3.4%, MetLife -3.0%) - Dec. 6

December 6, 2018

Wall Street News

Financials Crash on Trump Trash Talks About China Trade Deal (E*Trade -8%, StateStreet -7%) - Dec. 4

December 4, 2018

Wall Street News

Financial Stocks Surge in a Market Rally (DB +5.3%, AXP +3.7%) - Nov. 26

November 26, 2018

Wall Street News

Financial Stocks Close for the Holiday on an Uptick (Barclays +2.8%, DB and UBS +2.3%) - Nov. 21

November 21, 2018

Wall Street News

Big Selloff for Financials Stocks (DB -5.6%, CS -4.7%, GS -3.4%) - Nov. 20

November 20, 2018

Wall Street News

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

November 8, 2018

Wall Street News

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

October 31, 2018

Regulatory Sanctions

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

October 31, 2018

Wall Street News

Financial Sector Leads Market Rally (SCHW +4.3%, LPLA + 3.5%, BLK +3.4%)

October 30, 2018

Wall Street News

Most Financial Stocks Close Week with Losses (AIG -3.5%, RayJames -3.4%, DB -3.4%) - Oct. 26

October 26, 2018

Wall Street News

Most Financial Stocks Continue Tailspin (LPL Fincl -3.3%, Piper -2.6%, Schwab -2.3%) - Oct. 23

October 23, 2018

Wall Street News

BlackRock (-7%), Raymond James (-5%), Schwab (-5%) are Biggest Losers in Stock Market Rout - Oct. 10

October 10, 2018

Wall Street News

Financial Sector: Losers Outnumber Winners (Schwab +1.3%, Deutsche Bk -2.2%) - Sept. 7

September 7, 2018

Wall Street News

Financial Stocks Take a Beating, Led By Discount Brokers (ETFC -5%, AMTD -3%, SCHW -2%) - Sept 6

September 6, 2018

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