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Regulatory Sanctions

Veteran Broker Chose to ‘Fall on His Sword’ in Dispute Over Customer Loan

June 18, 2019

Wall Street News

Financial Stocks Get 'Goose-Egged' (AMP -3.6%, Pru -3.5%, LPL -2.9%, MS -2.7%) - May 31

May 31, 2019

Wall Street News

Financial Stocks Pull Market Indices Down (E*Trade -2.5%, Ameritrade - 2.4%, DB -2.2%) - May 28

May 28, 2019

Wall Street News

Job Cuts at Deutsche Bank and Legg Mason, Updated NJ Data Breach Law ... And Other Fines, Sanctions, Legal Actions

May 23, 2019

Wall Street News

Financial Stocks Take Big Losses (BCS -3.3%, DB -2.4%, C -2.2%, MS -2.0%, GS -1.8%) - May 22

May 22, 2019

Wall Street News

Financial Stocks End Week with Sizable Losses (Barclays -2.1%, StateStreet -2.0%, LPL -1.9%) - May 17

May 17, 2019

Wall Street News

Financial Stocks Close Up After Starting Day Like 'Gangbusters' (Ameritrade +2.9%, LPL +2.8%, Pru +2.5%) - May 14

May 14, 2019

Wall Street News

Financial Stocks Advance on Afternoon Rally (CME +1.6%, AIG +1.6%, DB +1.3%) - May 10

May 10, 2019

Wall Street News

Financial Stocks Close Mixed in a Topsy-Turvy Market (AIG +1.7%, Ameritrade +1.1%, LPL -1.9%, UBS -1.2%) - May 9

May 9, 2019

Wall Street News

Financial Stocks Decline in Afternoon Trading (Piper -1.7%, Ameriprise -0.9, Goldman -0.8%) - May 8

May 8, 2019

Wall Street News

AIG Nails It! But Other Financial Stocks Tank in a Down Market (DB -3.6%, Citi-3.2%, RayJay -3.1%) - May 7

May 7, 2019

Wall Street News

LPL (+12.8%) Leads Strong Rally in Financials ... (AmEx +1.8%, Piper +1.4%, RayJay +1.3%, Pru +1.3%) - May 3

May 3, 2019

Wall Street News

Most Financial Sector Stocks Rise (BlackRock +2.2%, LPL +1.6%, State Street -4.4%) - Apr. 23

April 23, 2019

Wall Street News

Financials Stocks Soar, Wells Advisors Walk, FINRA Files Rules Changes … And Other Headlines and Headliners

April 12, 2019

Regulatory Sanctions

An LPL Branch Manager Goes Rogue - Or - Who’s Supervising the Supervisor?

April 11, 2019

Wall Street News

Financial Stocks Return to Winning Ways (LPL +2.6%, Barclays +2.4%, Goldman +1.7%) - Apr. 3

April 3, 2019

Wall Street News

AIG's $21Mn CEO, Deutsche Dismisses Trader, UBS Weighs Asset Management Future … And Other Sanctions, Legal Actions, People and Companies

April 3, 2019

Wall Street News

Financial Stocks Close Mixed (Ameriprise + 2.6%, BofA +1.2%, LPL -1.5%, Wells -1.2%) - Apr. 2

April 2, 2019

Wall Street News

TGIF - Financial Stocks 'Tank' for Fourth Straight Day (LPL -7.5%, AMTD - 4.6%, SCHW -4.6%, Citi -4.6%) - Mar. 22

March 22, 2019

Wall Street News

Financial Stocks Join Market Rally (DB +5.4%, Piper +2.9%, Barclays +1.8%) - Mar. 11

March 11, 2019

Wall Street News

Financial Stocks: Losers Outnumber Winners (Goldman +1.3%, LPL -2.0%, Barclays -1.7%) - Mar. 8

March 8, 2019

Wall Street News

In February, Financial Stocks Gained, But Not as Much as the Broader Market

March 3, 2019

Wall Street News

Financial Sector Closes Lower as February Comes to an End (TD -2.3%, LPL -1.6%, RJF -1.4%) - Feb. 28

February 28, 2019

Wall Street News

Financial Stocks Post a Rally (BCS +3.1%, DB +2.1%, PNC +2.0%) - Feb. 27

February 27, 2019

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

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