Fill in this blank: __________________ Due Diligence. If you are like most AML professionals, “Customer” was the first and only answer that came to mind. The importance of Customer Due Diligence has been drummed into the mind of AML practitioners and is a common training topic. However, the recent indictment of a former TD Bank more »
DSA President, Alison Jimenez, will be among the presenters for an Association of Certified Anti-Money Laundering Specialists (ACAMS) webinar on Ponzi Schemes. The webinar will be held on November 25th, 2014. Jordan Maglich of Wiand Guerra King and the creator of PonziTracker.com will also be speaking. Case Study: Dissecting the Inner Workings of Recent Ponzi more »
DSA’s analysis of Florida Ponzi schemes in the post-Madoff era was cited in the Sarasota Herald Tribune front page story “Florida’s Wealth a Magnet for Ponzi Schemes” by John Hielscher. Hielscher cited DSA’s ranking of Florida ponzi schemes and sentencing comparisons. DSA president, Alison Jimenez, was quoted on why Florida ranked so high in the more »
The Tampa Bay and Jacksonville Business Journals featured DSA’s analytics of Florida Ponzi Schemes. Jane Meinhart quoted DSA president, Alison Jimenez, in the “Ponzi schemers at Home in Florida” article. DSA partnered with Jordan Maglich of Wiand Guerra King to prepare the analysis. The analysis shows Florida ranks third in the county in the total value more »
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DSA analyzed the potential impact of the recent Florida Supreme Court ruling that Florida’s statute of limitations can apply to securities arbitration cases between investors and their brokers. Key Findings: 1 in 5 Customer v. Member Firm arbitrations occur in Florida Time limits may preclude ’08 – ’09 market losses from damage calculations The opinion more »
The number of complaints filed with the Florida Division of Securities hasquadrupled over 2007 levels according to Securities chief Bill Reilly. The Division has added four employees to deal with the increased levels of complaints.
If you gauge suspicious activity by the Financial Crimes Enforcement Network’s (FinCEN) “By the Numbers” report on the Securities & Futures Industries, then yes. By FinCEN’s tally, Nebraska accounted for 7.31% of all SAR-SF filings from January 1, 2003 through June 30, 2008. Three states had higher counts (New York, Massachusetts & California) but Nebraska is more »