Financialish

provides compliance + legal professionals with clear, concise & compelling reports and 'take aways' on FINRA & SEC disciplinary actions.

[CBC's The House @CBCTheHouse]

Political cartoonist @deAdderCanada reached an international audience with his biting satire of Donald Trump. With Trump out of office, De Adder discusses how Biden’s first 100 days have shifted the tone of his work. #cdnpoli

https://t.co/94KLsjLOyi

[Jimmy Hong @jihmmie]

@deAdder You're welcome… screenshot it before the paywall came up…Not that I don't support paid journalism…this is for everybody who just wants it NOW!

[Michael de Adder @deAdder]

Cartoon for April 7, 2021. #MitchMcConnell #GeorgiaBoycotts #MLB #CorporateAmerica #VoterSuppression

[Michael de Adder @deAdder]

Cartoon for @newcounterpoint For more cartoons subscribe to https://t.co/4bBskrVc4X #Texas #TexasMaskMandate #TexasFreeze #GreggAbbott

[Michael de Adder @deAdder]

Cartoon for @newcounterpoint

For more cartoons go to https://t.co/4bBskrVc4X
#ImpeachmentTrial #impeachment #republicans #McCarthy

[Sarah Cooper @sarahcpr]

Hey you forgot your kid

[Michael de Adder @deAdder]

Cartoon by @deadder
for https://t.co/CmCY9K91ER.
@newcounterpoint

[Financialish @financialish]

Can't happen soon enough.

[Michael de Adder @deAdder]

cartoon for November 6. #ElectionDay #ElectionNight #elections2020 #ELECTION2020

[Michael de Adder @deAdder]

Cartoon for November 4. #Elections2020 #ElectionNight #Election2020 #ElectionDay

[Michael de Adder @deAdder]

My friend Terry Mosher.

[Financialish @financialish]

Broker-Dealer, CCO Tripped Up on Remote Supervision https://t.co/RULG46hwgY #FINRA #HeightenedSupervision #ChiefComplianceOfficer #BranchInspections #ConcordeInvestmentServices #RemoteSupervision #FallFlatOnMyFace #MissedRedFlags

[Financialish @financialish]

An ‘Imprecise’ WSPs Manual Leads to Registration Problems https://t.co/5uOY8X3HD2 #FINRA #CCO #WSPs #ChiefComplianceOfficer #WrittenSupervisoryProcedures #SecuritiesTraders #RegistrationRules #WhoWhatWhereWhenWhyHow

[Financialish @financialish]

Lackadaisical Shortcuts Taken by a Veteran Broker https://t.co/Ew5zpDVzkF #FINRA #UnauthorizedDiscretion #HDVest #CustomerComplaint #WrittenAuthorization #AvantaxInvestmentServices #CantTeachAnOldDogNewTricks

[Financialish @financialish]

A Lesson in Volatility ETPs, Courtesy of JPMorgan https://t.co/2oDO0e9HAn #FINRA #VIXIndex #VolatilityETPs #JPMorganSecurities #LongTermInvesting #TradingStrategies #FearGauge #EquityMarketVolatility #InvestorSentiment #KISS

[Financialish @financialish]

Investing in ‘Volatility ETPs’ Can Be a Crapshoot https://t.co/k7CfbXaSsm #CBOE #VolatilityETPs #VolatilityIndex #VIX #FidelityInvestments #SAndP500Index #BuyAndHoldStrategy #CrapShoot #SuckerBets #FearIndex #CasinoCraps #TradingStrategies

[Financialish @financialish]

Morgan Stanley Broker Crosses Line Over CDs https://t.co/Isqhtr9kJp #MorganStanley #FINRA #Churning #CertificatesOfDeposit #ElderlyCustomers #UnsuitableShortTermTrading #LadderedInvestmentStrategy

[Financialish @financialish]

We All Remember September 11, 2001 https://t.co/JLljaAoLgD #WorldTradeCenter #FidelityInvestments #911TerroristAttack #WeRemember #WhereWereYou

[Michael de Adder @deAdder]

Cartoon repost from 9-11. #September11

[Financialish @financialish]

Deceased Customers Don't Trade https://t.co/xWtEtqdwve #FINRA #UnauthorizedDiscretion #WellsFargoClearingServices #BenFranklin #DeathAndTaxes #HeirsAndEstates #DeadCustomersDontTrade

[Financialish @financialish]

Excessive Trading and Churning at Newport Coast Securities https://t.co/vW3sFITVql #SEC #FINRA #Churning #ColdCalling #ExcessiveTrading #NewAccountForms #NewportCoastSecurities #ActiveTradingAuthorization