Finra
On Second, Post-Probe Thoughts, Investor Thinks Morgan Stanley May Really Have Screwed It Over Here
With this new s**t that has come to light, Disruptive Technology has a whole new perspective on its block trade last year.
You Know It’s Bad When A Judge Says ‘Wells Fargo Committed Fraud’ And That’s Not The Key Issue
You also probably won’t be surprised to see our old friends at FINRA popping up.
Jamie Dimon Is A Pretty Permissive Babysitter, It Turns Out
He really let the kids run wild on their devices without even a glance.
No Wonder Jefferies Likes The Prime Brokerage Game So Much
(Allegedly) holding collateral and charging millions in fees for worthless positions is about as good a business as exists, until the arbitration claims come, anyway.
Robinhood Giving Shares To Its Poor Users, Sending The Rich (Those Companies) The Bill
As with everything else it does, regulators are getting ready to pull the plug.
Robinhood Has A Couple Of Teensy Things To Get Off Its Chest Before Tomorrow’s IPO
We’re sure you’ll agree with it that probes into potential insider-trading and whether its CEO should be allowed to be its CEO are nothing to worry about.
Robinhood Deletes One Line From Voluminous ‘Legal Issues’ Section Of IPO Prospectus
Good enough to plow ahead!
Gary Gensler To Do More In First Months Than Jay Clayton Did In Four Years
The little regulator that could has 10b5-1 plans, SPACs, Twitter, accounting and chief compliance officers in his sights.
Ex-Goldman Analyst (Allegedly) Made His Own Bonus
Unfortunately for Brian Maguire, it was also his last.
Robinhood Finds Sympathetic Regulatory Shoulder To Settle With
FINRA can always be counted on to offer a relative bright spot in a legal and regulatory hellscape.
Compliance Department Only Part Of Interactive Brokers To Not Enjoy Dramatic Growth
Somehow the dour lawyers got left out of the party. Shocking, we know.
Was Citadel Securities Not Supposed To Sit On Client Orders To Fill Its Own?
It’s sort of sorry, if that helps.
Ex-Bridgewater CEO Disputes Objective Bridgewater Criteria That Pay Women Less
Eileen Murray intends to get paid.
Have FINRA’s People, Members Earned A Right To Have An Opinion?
The self-regulator’s new chairperson would like to know.
FINRA Gets Around To Banning Broker It Found Guilty Of Ripping Of Client/Adulterous Lover Three-And-A-Half Years Ago
Ami Forte will have to find other ways of getting into elderly rich guys’ pants.
Michael Corbat Tells Finra That He Did An Oopsy And Hired Some Criminals
Citi's background check situation is not...strong?
![Tony Webster from Minneapolis, Minnesota, United States [CC BY 2.0], via Wikimedia Commons](https://dealbreaker.com/.image/ar_16:9%2Cc_fill%2Ccs_srgb%2Cfl_progressive%2Cg_faces:center%2Cq_auto:good%2Cw_620/MTYxMjc3NzMxMDk0OTMxNDIw/megamillions.jpg)
Fired DE Shaw MD Wasn't Kidding About That "See You In Court" Stuff
Dan Michalow actually filed an official complaint against his former fund.
FINRA Officially Frowns On Financial Advisers Posing As Rivals And Looking For Sex On Craigslist
Where's your sense of fun, FINRA?
Citi Knew It Was Lying To Customers, Didn’t Care To Stop
After all, it wasn’t misleading any really important clients.
FINRA Is Doing A Whole Lot Less FINRAing These Days
The fines are down 70 percent, but the fun is way way up.
![By U.S. Government [Public domain], via Wikimedia Commons](https://dealbreaker.com/.image/ar_16:9%2Cc_fill%2Ccs_srgb%2Cfl_progressive%2Cg_faces:center%2Cq_auto:good%2Cw_620/MTYxMjc3MjA4NzE4MzUzOTA5/cftc.jpg)
Raise Your Hand If You Recently Left Your Job At The SEC And DON'T Now Work For Ken Griffin
Hmmm, we're not seeing a ton of hands.
FINRA Fines Credit Suisse For Letting Its Money Laundering Oversight Get A Little Too Swiss
Regulator reportedly looking to punish birds for flying.