Dynamic Securities Analytics president, Alison Jimenez, was quoted in today’s Bloomberg article by Neil Weinberg on broker raiding cases. The article titled “Brokers’ Battle Over Memorial Day Raid Reveals Industry Strains” discusses a current Finra arbitration between Oppenheimer & Co. and Euro Pacific Capital. Ms. Jimenez commented on the number of raiding cases resolved through arbitration each year.
“Oppenheimer, like many big firms, has been on both sides of raiding battles. About a dozen such disagreements end in arbitration awards each year, said Alison Jimenez, president of Dynamic Securities Analytics Inc. and senior strategist for RegTelligence. Many more are settled privately between firms.”
RegTelligence is the first comprehensive database of all regulatory enforcement actions. Executives frequently name regulatory scrutiny as the top risk they are facing. RegTelligence helps reduce this risk by giving firms access to comprehensive analytics covering all regulatory actions facing financial services firms, allowing them to better manage compliance related issues.
Read the full article here.