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
BofA's Moynihan Gets $26.5Mn, M. Stanley Begins Shopping Spree, FINRA's Small Firm 'Report' ... And Other Headlines and Headliners
February 12, 2019
FINES, SANCTIONS, LEGAL ACTIONS:
- Founder of Kizzang, An Online Gaming Company, Defrauded Investors [SEC]
- Merrill Lynch Stockbroker Crashes and Burns Over Class B Shares Limits [BrokeAndBroker]
- Former National Securities Corp President/CEO Sues Firm in FINRA Expungement Case [BrokeAndBroker]
PEOPLE & COMPANIES:
- BB&T to buy SunTrust in All-Stock Deal Worth $66Bon - Will Create 6th-Largest U.S. Bank [CNBC]
- SEC Commission Peirce: 'Regulation: A View from Inside the Machine' [SEC Speech]
- Morgan Stanley Paying $900Mn for Employee Stock Plans Manager, Canada's Solium Capital [TheStreet]
► Morgan Stanley Seeks More Takeovers After Biggest Deal Since ’08 [Bloomberg]
- Goldman Sachs, Point72, Others Invest $44Mn in Business Credit Startup Nav [Reuters]
- UBS Revamps Compensation Scheme for 10,000 Staff [Reuters]
- BofA CEO Moynihan Enjoys 15% Pay Boost to $26.5Mn [AdvisorHub]
- BofA Gooses Checking Account Sales to Merrill Wealth Clients [AdvisorHub]
HEADLINES & HEADLINERS:
- Vanguard Dramatically Cuts Expected Rate of Return for Stock Market Over Next Decade [CNBC]
- Bernstein Makes 'Strong Case' For Gold Over Bonds, Stocks [CNBC]
- Plunge in Crypto Sets Stage for Facebook and Other Tech Giants to Hire Blockchain Experts [CNBC]
- FINRA’s Small Firm 'Report' - February 20th [FINRA]
