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
Cybersecurity Risks, Fintech Hiring, Harvard Goes Crypto, Shadow Banking Spotlight … And Other Headlines and Headliners
April 11, 2019
- - Compiled by Howard Haykin
FINES, SANCTIONS, LEGAL ACTIONS:
- Renaissance Technologies' Medallion Hedge Fund Slammed Over $6.8Bn in Unpaid Taxes [NYPost]
- Unqualified Municipal Advisor Disgorged of Advisory Fees [SEC]
PEOPLE & COMPANIES:
- Bank of America Creating Digital Financial Coach to Chase the ‘Holy Grail’ of Banking [CNBC]
- Citigroup President Jamie Forese (Forced?) to Depart, Ybarra Promoted [Bloomberg]
- Hedge Giant Man Group Trapped on the Naughty Step [Bloomberg]
- Former GOP Congressman Jeb Hensarling Named UBS Executive Vice Chair of the Americas [BusinessWire]
HEADLINES & HEADLINERS:
- Harvard Takes Plunge into Crypto with a Token Sale Investment [Bloomberg]
- FINRA Prescribes Candor in Discussing Departing Brokers [AdvisorHub]
- Income-Sharing Agreement or ISA: College Grads Sell Stakes in Themselves to Wall Street [Bloomberg]
- Fintechs Ramp Up Hiring as Big Banks Cut Jobs [Bloomberg]
- 'Never Been a Better Time’ to be a Whistleblower in America [MarketWatch]
- Shadow Banking Now a $52 Trillion Industry, Posing Big Risk to Financial System [CNBC]
- Former SEC Lawyer Sounds Alarm on ‘The Greatest Retirement Crisis’ in History [MarketWatch]
- Cybersecurity - Biggest Risk to the Financial System - CEOs of Largest U.S. Banks [MarketWatch]
