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
Phishing Emails Against B/Ds, Ex-Senior Attorney at Apple Charged with Insider Trading ... And Other Headlines and Headliners
February 13, 2019
FINES, SANCTIONS, LEGAL ACTIONS:
- Former Senior Attorney at Apple Charged with Insider Trading [SEC]
- Scams Cheat Older Americans Out of Almost $3Bn a Year - Here's What to Watch for [CNBC]
- Lord Voldemort, Bank of America, Merrill Lynch, FINRA, and Childcare Expenses [BrokeAndBroker]
PEOPLE & COMPANIES:
- Jes Staley is Poaching Talent from JPMorgan Again [NYPost]
- Morgan Stanley just revealed a massive stake in Twitter - and TWTR Shares are Soaring [BusinessInsider]
- Fidelity and Schwab Fire Latest Salvos in Brokerage Fee War, Doubling ETFs Available for Free Trades [CNBC]
- Goldman Sachs to Boost Number of Mid-Sized Corporate Clients [Reuters]
► Goldman Considered Buying a Boutique in Mid-Market Push [Bloomberg]
- Wells Fargo's 2019 Net Interest Income Dependent on Loan Growth, Deposits [Nasdaq]
- Credit Suisse Commodity Loss Said to Threaten Some Bonuses [Bloomberg]
- BlackRock Hires Stanley Fischer, Former Fed official [Reuters]
- Bill Ackman is Doubling the S&P 500 Return This Year - Here are His Biggest Holdings [CNBC]
HEADLINES & HEADLINERS:
- FINRA Extends Effective Date of Margin Requirements for Covered Agency Transactions [FINRA RegNote]
- SEC Chair Clayton: Statement on Shareholder Proposals Seeking to Require Mandatory Arbitration Bylaw Provisions [SEC]
- Warren Buffett on Managing People: Find the '.400 hitters' and Don't Tell Them How to Swing' [CNBC]
- Broker Conflict of Interest Rule: Former SEC Economists Blast Chair Clayton’s Reg BI Proposal [AdvisorHub]
- FINRA Warns of Fraudulent Phishing Emails Targeting Member Firms [FINRA InfoNote]
