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Monthly Archives: April 2014

5 posts

Dynamic Securities Analytics, Inc. (DSA) analyzed 1Q14 FINRA Disciplinary Actions Letters of Acceptance, Waiver & […]

Broker-Dealers FINRA Regulatory Analytics Securities Enforcement Securities Litigation Securities Regulation Securities Violations

1Q14 FINRA Disciplinary Actions: Law Firm Representation Stats

When the Bank Secrecy Act passed in October 1970 with the $10,000 Currency Transaction Report (CTR) […]

Anti-Money Laundering Currency Transaction Reports FinCEN Money Laundering Enforcement Regulatory Analytics SARs Suspicious Activity Reports

Should the Currency Transaction Report Threshold be $60,900?

In 2012 there was 1 federal money laundering conviction per 2,047 Suspicious Activity Reports (SARs) filed. If […]

Anti-Money Laundering FinCEN Interactive Analytics Money Laundering Enforcement Regulatory Analytics SARs Suspicious Activity Reports

How do SARs and Federal Money Laundering Convictions Compare?

The Street published an article by Philip van Doorn titled “Ponzi Scheme Database May Shock […]

Anti-Money Laundering DSA in the News Ponzi Schemes Regulatory Analytics Securities Enforcement Securities Regulation

DSA’s Ponzi Analytics cited by The Street

A ponzi schemer would follow these rules in order to keep the scheme going […]

Anti-Money Laundering Broker-Dealers Calculations FinCEN Investment Advisors Ponzi Schemes Securities Enforcement Securities Litigation

Ponzi Scheme Calculator: When will it Collapse?