Category Archives : Investment Advisors


Alison Jimenez Quoted in Bloomberg Article on Broker Raiding Cases

  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 more »


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Bates Group Launches RegTelligence- The number one source for intelligence on financial industry regulator behavior

RegTelligence™ is the first comprehensive database of all regulatory enforcement actions. PR Newswire LAKE OSWEGO, Ore., Sept. 9, 2015 LAKE OSWEGO, Ore., Sept. 9, 2015 /PRNewswire/ — Bates Group LLC, the nation’s leading provider of financial industry expertise, today announced RegTelligence™, a game-changing, unified source for SEC, FINRA, CFTC, and other federal agencies, state and foreign regulatory enforcement actions involving more »


Ponzi Scheme Calculator: When will it Collapse?

  A ponzi schemer would follow these rules in order to keep the scheme going for as long as possible: Encourage “reinvestment” of income. The less income the schemer pays out, the longer the scheme will last. Moderate the amount stolen each year. If he steals a smaller amount each year, the scheme will last more »


Disciplinary History in Focus: Exempt Reporting Advisers

The Dodd-Frank Wall Street Reform and Consumer Protection Act mandated that advisers to venture capital funds and/or to small private fund (less than $150 million assets under management) report certain items to the SEC. Dynamic Securities Analytics, Inc. analyzed the disciplinary disclosure items reported by Exempt Reporting Advisers (“ERA”). Key Findings: 3% of ERAs report regulatory, criminal or civil disciplinary more »