Recently Released!!!
Date Published: July 7, 2015
Summary Power Point Deck: 53 Slides
Reference Power Point Deck: 873 Slides

The purpose of this research is to provide readers with an initial understanding of other types of firms stumbles and their impact on the financial services industry, various products & services, various markets & distribution channels, and specific financial services firms. This research addresses prominent financial services industry stumbles such as the NASDAQ price fixing scandal, the NYSE compensation controversy, and the select clients early data access scandal.

Other types of firms stumbles can be grouped into four phases, including:

• Insurance Industry Stumbles Phase
• Insider Trading Phase
• Mutual Funds Industry Stumbles Phase
• Ponzi Schemes Phase

Other types of firms stumbles can be defined to include dozens of stumbles, including:

• NASDAQ Price Fixing
  
• NYSE Compensation Controversy
  
• Select Clients Early Data Access

This research supports three conclusions for other types of firms stumbles, including:

• The Continuation of Sub-Standard Industry Ethics
• Hedge Funds, Investment Banks, Retail Banks, & Insurance Companies Continue to be the Most Frequent Repeat Offenders
• Limited Historical Regulator Enforcement Success with the Emergence of Rock Star Enforcers