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Welcome to Financialish.com, a fresh and lively source for takes (and “take aways”) on disciplinary actions in the securities industry. We feature FINRA and SEC case studies that are delivered in a clear, concise, comprehensive and engaging manner that aims to satisfy compliance and legal professionals – their insatiable appetite for information and their limited time to surf the net. Financialish.com provides relevant findings and criteria that serve as the basis for the regulatory sanctions handed down by FINRA and the SEC, and we conclude with sensible “take aways” that seek to challenge ineffectual industry norms and haphazard approaches to regulatory compliance. Financialish.com adds to the mix feature stories about the firms and folks of Wall Street, and announcements about career opportunities. It all adds up to a quick read of the news, without ‘smoke and mirrors’.
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