Category Archives : Securities Regulation


Would you spend 21 days in prison for $1 million dollars? 2016 Ponzi Scheme Analytics   Recently updated !

Dynamic Securities Analytics, Inc. in partnership with Jordan Maglich of PonziTracker.com published interactive analytics of alleged Ponzi schemes revealed and Ponzi-related prison sentences for 2016. Key Take-Aways:   59 new alleged Ponzi schemes were revealed in 2016. This is down from 61 schemes uncovered in 2015 and 70 schemes in 2014. However, the $2.3 billion more »


SEC vs. FINRA: 2016 AML Priorities

FINRA and the SEC recently released their respective 2016 exam & regulatory priorities. DSA reviewed the priorities for topics that directly or indirectly touch on AML issues. While there is overlap in the areas of cybersecurity, market manipulation and microcap securities, the two regulators diverge on other AML priorities. DSA prepared the comparison below:   more »


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 »

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Suspicious Activity Reports for Market Manipulation Spikes

On April 22nd, 2015 FinCEN released In Focus: SAR Stats (April 2015). Dynamic Securities Analytics, Inc. (“DSA“) analyzed the new Suspicious Activity Report-Securities/Futures (“SAR-SF”) data and found that Market Manipulation/Wash Trades SARs have increased 63% from 2014 and 105% from 2013 levels (on a quarterly basis)*. The same day FinCEN released the latest SAR Stats, Navinder more »


45% Spike in SAR- Securities & Futures in 2014

Dynamic Securities Analytics analyzed the latest FinCEN In Focus: SAR Stat report and found that SAR-Securities & Futures filings increased by 45% in 2014 over 2013 filings. 22,448 SAR-SFs were filed in 2014 versus 15,457 in 2013. Try out DSA’s interactive analytics below. SAR-SFs can be filtered by activity type, percentage and count change from more »


1Q14 FINRA Disciplinary Actions: Law Firm Representation Stats

Dynamic Securities Analytics, Inc. (DSA) analyzed 1Q14 FINRA Disciplinary Actions Letters of Acceptance, Waiver & Consent (AWC) to determine legal representation trends. There were 164 AWCs during the first quarter of 2014. DSA broke down the analysis between disciplinary actions that named a firm versus those that named an individual. Broker/Dealers 67 AWCs named a Broker/Dealer more »


DSA’s Ponzi Analytics cited by The Street

The Street published an article by Philip van Doorn titled “Ponzi Scheme Database May Shock You” in which Dynamic Securities Analytics, Inc’s interactive Ponzi scheme visualization was cited. The first decade of the 21st century goes down as the “golden age” for Ponzi schemes. In the aftermath of Bernard Madoff’s epic 20-year scheme to defraud investors — 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 »