Investor Protection
A Trusted Broker for 30+ Years Ended Up Stealing Client Blind
July 9, 2020
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TRENDING TAGS
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- 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
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Investor Protection
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Financial Stocks Are Biggest Losers (DB -6.1%, BNY -3.4%, State St -3.0%) - July 8
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Financial Stocks Advance in an Otherwise Down Market (DB +2.8%, Ameritrade + 1.9%, LPL +1.7%) - July 5
July 6, 2019
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Financial Stocks: Losers Outnumber Winners (RayJay -1.7%, State Street -1.6%, Schwab -1.4%) - July 2
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Financial Stocks Lead Broad Market Rally (E*Trade +2.4%, PNC 1.8%, MetLife +1.7%) - July 1
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Financial Stocks Close June with Strong Rally (RayJay +2.9%, BofA +2.8%, JPM +2.7%, Citi +2.7%) - June 28
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Financial Stocks Surge (Credit Suisse +2.6%, Piper +2.5%, DB +2.3%) - June 27
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Financial Stocks Decline, Led by Discount Brokers (Ameritrade -3.8%, Schwab -3.6%, E*Trade -3.6%) - June 24
June 24, 2019
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Financial Stocks Closed Mixed, Slightly Down (Wells +2.3%, RayJay +2.1%, Piper -1.9%, Ameriprise -1.7%) - June 21
June 21, 2019
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Financial Stocks Rally (BlackRock +2.4%, MetLife +1.3%, AIG +1.2%, Pru +1.2%) - June 20
June 20, 2019
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Financial Stocks Close Mixed, As Fed Says 'No' to Rate Cuts (DB +1.4%, BLK +1.3%, SCHW -2.5%, RJF -2.4%) - June 19
June 19, 2019
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Financial Stocks Close Mixed (AMP +1.3%, PNC +1.1%, SCHW -3.2%, ETFC -1.3%) - June 14
June 14, 2019
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Financial Stocks Close Mixed (AmEx +1.4%, BNY +1.3%, Schwab -2.1%, BofA -1.3%) - June 7
June 7, 2019
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Financial Stocks Begin June with a Rally (AIG +3.2%, Pru +2.0%, Met +1.8%) - June 3
June 3, 2019
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JPMorgan Settles, HSBC Axes, FINRA Amends, Barclays Rebuilds ... And Other Headlines and Headliners
May 31, 2019
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Financial Stocks Lead Rally Entering Memorial Day Weekend (RayJay +2.5%, Pru +1.7%, Schwab +1.7%, BofA _1.5%) - May 24
May 24, 2019
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Financial Stocks Fall Amid a Broad Market Rally (Schwab -3.6%, Ameritrade -2.8%, E*Trade -1.7%) - May 15
May 15, 2019
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Financial Stocks Collapse in a Bear Market (Citi -5/2%, Pru -5.0%, MStanley -4.7%) - May 13
May 13, 2019
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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
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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
Financial Stocks Have a Losing Day (RayJay -2.3%, CME -2.0%, StateSt -2.0%, DB -1.6%) - May 1
May 1, 2019
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Financials Open Week with Strong Rally (Barclays +2.4%, Ameritrade +2.2%, Schwab +2.2%, Citi +2.2%) - Apr. 29
April 29, 2019
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Financial Stocks Close Mixed - More Winners Than Losers (RayJay +1.9%, AmEx +1.6%, Barclays -2.9%, DB -1.8%) - Apr. 25
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