BloggingStocks http://www.bloggingstocks.com BloggingStocks http://www.blogsmithmedia.com/http://www.bloggingstocks.com/media/feedlogo.gif BloggingStocks http://www.bloggingstocks.com en-us Copyright 2012 Weblogs, Inc. The contents of this feed are available for non-commercial use only. Blogsmith http://www.blogsmith.com/<![CDATA[SEC Chair on the Hot Seat? Finra Scandal Could Put Her There]]>http://www.bloggingstocks.com/2009/12/21/sec-chair-on-the-hot-seat-finra-scandal-could-put-her-there/http://www.bloggingstocks.com/2009/12/21/sec-chair-on-the-hot-seat-finra-scandal-could-put-her-there/http://www.bloggingstocks.com/2009/12/21/sec-chair-on-the-hot-seat-finra-scandal-could-put-her-there/#commentsFiled under:

Veteran Bloomberg reporter Susan Antilla wonders in her latest column whether Securities and Exchange Commission (SEC) chair Mary Schapiro is the right person to have at the helm of the SEC.

Back in 2006, Schapiro was the head of the National Association of Securities Dealers when the organization decided to merge its regulatory functions with the NYSE to create Finra -- the Financial Industry Regulatory Authority. Now a pair of Finra-member firms are suing Finra and Schapiro, alleging breach of fiduciary duty, misleading statements and unjust enrichment.

Continue reading SEC Chair on the Hot Seat? Finra Scandal Could Put Her There

SEC Chair on the Hot Seat? Finra Scandal Could Put Her There originally appeared on BloggingStocks on Mon, 21 Dec 2009 12:30:00 EST. Please see our terms for use of feeds.

Permalink | Email this | Comments]]>Financial Industry Regulatory AuthorityFinraGary WeissinthenewsMary SchapiroSECSusan AntillaMon, 21 Dec 2009 12:30:00 EST<![CDATA[Closing Bell: Even bulls are surprised at a lack of pullback (HGSI, BAC, GS, COCO)]]>http://www.bloggingstocks.com/2009/08/25/closing-bell-even-pulls-are-surprised-at-a-lack-of-pullback-hg/http://www.bloggingstocks.com/2009/08/25/closing-bell-even-pulls-are-surprised-at-a-lack-of-pullback-hg/http://www.bloggingstocks.com/2009/08/25/closing-bell-even-pulls-are-surprised-at-a-lack-of-pullback-hg/#commentsFiled under: ,

The economic numbers are getting better, and every time the bears call an overbought market the market just gets even more overbought. Even some of the bulls are surprised at how there has been no pullback. The housing prices and consumer confidence reflect this data.

Here are today's unofficial closing bell levels:

Dow 9,539.21 +29.93 (0.31%)
S&P 500 1,028.00 +2.43 (0.24%)
Nasdaq 2,024.23 +6.25 (0.31%)

Top Analyst Upgrades
Top Analyst Downgrades
Top Day Trader Alerts

Continue reading Closing Bell: Even bulls are surprised at a lack of pullback (HGSI, BAC, GS, COCO)

Closing Bell: Even bulls are surprised at a lack of pullback (HGSI, BAC, GS, COCO) originally appeared on BloggingStocks on Tue, 25 Aug 2009 16:00:00 EST. Please see our terms for use of feeds.

Permalink | Email this | Comments]]>corinthian collegesCorinthianCollegesfeaturedFINRAhuman genomic sciencesHumanGenomicSciencessectrading huddlesTradingHuddlesTue, 25 Aug 2009 16:00:00 EST<![CDATA[Goldman Sachs' trade tips under scrutiny]]>http://www.bloggingstocks.com/2009/08/25/goldman-sachs-trade-tips-under-scrutiny/http://www.bloggingstocks.com/2009/08/25/goldman-sachs-trade-tips-under-scrutiny/http://www.bloggingstocks.com/2009/08/25/goldman-sachs-trade-tips-under-scrutiny/#commentsFiled under:

According to The Wall Street Journal, securities regulators will be heading over to Goldman Sachs (NYSE: GS) to examine weekly meetings where research analysts give tips to traders and big clients.

The problem, as regulators may view it, is that financial firms are not treating all clients equally. Should there be an expectation for equal treatment? Theoretically, yes. But do I expect GS to share trading tips with me for free? Nope.

Continue reading Goldman Sachs' trade tips under scrutiny

Goldman Sachs' trade tips under scrutiny originally appeared on BloggingStocks on Tue, 25 Aug 2009 09:30:00 EST. Please see our terms for use of feeds.

Permalink | Email this | Comments]]>featuredFINRAGoldman SachsGSinthenewsSECtrading tipsweekly huddlesTue, 25 Aug 2009 09:30:00 EST<![CDATA[Is Wall Street influencing Obama's regulations?]]>http://www.bloggingstocks.com/2009/07/01/is-wall-street-influencing-obamas-regulations/http://www.bloggingstocks.com/2009/07/01/is-wall-street-influencing-obamas-regulations/http://www.bloggingstocks.com/2009/07/01/is-wall-street-influencing-obamas-regulations/#commentsFiled under: , , , , ,

In a word: yes.

Despite all the talk about regulating these speculative investment vehicles, "Obama's financial overhaul plan included no big surprises or threats to the lucrative, secretive industry," writes The Wall Street Journal.

The name of the game is lobbying, which is easily funded by the $1.3 trillion dollar industry. Even after numerous Ponzi schemes and frauds have recently been exposed, the U.S. government has failed at regulating hedge funds, the most speculative area in finance, in part due to the industry's lobbying efforts.

Continue reading Is Wall Street influencing Obama's regulations?

Is Wall Street influencing Obama's regulations? originally appeared on BloggingStocks on Wed, 01 Jul 2009 13:00:00 EST. Please see our terms for use of feeds.

Permalink | Email this | Comments]]>BACBank of AmericaCitigroupfeaturedFedfinancial reformFINRAhedge fundsinthenewsJPMJPMorganlobbyingObamaRobert PicardSECWed, 01 Jul 2009 13:00:00 EST<![CDATA[Memo to Obama: Mary Schapiro is not 'change' at the SEC]]>http://www.bloggingstocks.com/2008/12/18/memo-to-obama-mary-schapiro-is-not-change-at-th/http://www.bloggingstocks.com/2008/12/18/memo-to-obama-mary-schapiro-is-not-change-at-th/http://www.bloggingstocks.com/2008/12/18/memo-to-obama-mary-schapiro-is-not-change-at-th/#commentsFiled under: ,

Isn't it finally time to put someone in charge of the SEC who really cares about investors?

There are many well qualified candidates. Here are a few suggestions:

William Galvin: The highly respected Secretary of the Commonwealth of Massachusetts. He has taken on the industry and recovered millions of dollars of damages for aggrieved investors.

Joe Borg: Executive Director of the Alabama Securities Commission. Mr. Borg has a stellar record of protecting the interests of investors in Alabama.

Andrew Cuomo: The Attorney General of New York. He knows the industry and has shown great tenacity in exposing the recent fraud involving Auction Rate Bonds and other misdeeds.

Mary Schapiro, who is President-elect Obama's choice, has spent her career protecting the securities industry from investors.

Continue reading Memo to Obama: Mary Schapiro is not 'change' at the SEC

Memo to Obama: Mary Schapiro is not 'change' at the SEC originally appeared on BloggingStocks on Thu, 18 Dec 2008 11:11:00 EST. Please see our terms for use of feeds.

Permalink | Email this | Comments]]>Andrew CuomoAndrewCuomofeaturedfinraJoe BorgJoeBorgMary SchapiroMarySchapiroobamasecWilliam GalvinWilliamGalvinThu, 18 Dec 2008 11:11:00 EST