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
The Next Bitcoin Crash, The New Rules for FAs, ConvergEx and Burnham Ex-Execs Barred … And Other Headlines and Headliners
June 14, 2019
- - Compiled by Howard Haykin
FINES, SANCTIONS, LEGAL ACTIONS:
- Final Judgments in Insider Trading Case Against Former Software Executive and 2 Friends [SEC]
- SEC Bars Windsor Street Capital Broker for Excessive Trading [SEC]
- SEC Bars Ex-CEO of ConvergEx Global Markets for Substantial Undisclosed Markups/Markdowns [SEC]
- Former MD at Burnham Securities Barred for Role in $43Mn Fraud [SEC]
- Morgan Stanley Sues $177Mn FA in Atlanta Who Jumped to RBC [AdvisorHub]
PEOPLE & COMPANIES:
- Bank of America Has Found Perfect Recession Play - Death [CNBC]
- Bakkt, Start-Up Crypto Platform Affiliate of ICE, Says Bitcoin Futures Testing to Begin in July [Reuters]
- JPMorgan Arbitration Plan for Credit Card Users Challenged by Lawmaker [Bloomberg]
- Citadel Squares Off with Pimco Over 48-Hour Bond Reporting Delay [Bloomberg]
HEADLINES & HEADLINERS:
- SEC Jay Clayton: Statement on Trading and Markets Staff Fee Guidance [SEC]
- Will Bitcoin Crash Again? Next Price Cycle Could Be Tamer Ride [Bloomberg]
- Is Bitcoin Growing Up? Regulated Futures Boom as Investors Seek Safer Ride [Reuters]
- Artists Create Zuckerberg 'Deepfake' Video [Reuters]
- Trump’s Trade War Has Cost Market Trillions; We’ll Get Half Back - JPMorgan [MarketWatch]
- Opinion: New Rules for Financial Advisers Don’t Protect You, They Protect Wall Street [MarketWatch]
- Moody's Rates Syracuse, NY Mall's $300 Million Bonds as Muni Junk [Bloomberg]
- Sorry State of Politics - -
► Trump Assailed for Saying He Would Take Campaign Help from Russia [NYTimes]
► GOP Lawmaker Duncan Hunter’s Wife Pleads Guilty in Corruption Case [Bloomberg]
► Sarah Huckabee Sanders leaving White House at End of Month - Trump [CNBC]
- A Morgan Stanley Index on the Economy Suffered the Largest Ever Month-to-Month Collapse [CNBC]
