DSA prepared interactive analytics of over 500 Ponzi schemes in the post-Madoff era. The schemes can be filtered and analyzed by year, state, dollar value and months sentenced per million $. DSA partnered with Jordan Maglich of PonziTracker.com on this project.
FINRA released the final tallies for 2008 arbitration filings. 2008 witnessed marked change in trends regarding the type of controversy. Filings citing “Omission of Facts” […]
Broker-dealers look to enforcement actions to understand Finra’s AML priorities. BDs may end up scouring their customer records to see if they have similar documentary issues … and that could draw funds and attention away from priorities identified in the National Strategy for Combatting Terrorist and Other Illicit Financing.
Dynamic Securities Analytics, Inc. president, Alison Jimenez, will speak at the February 9th, 2016 meeting of the Tampa chapter of the Association […]
Dynamic Securities Analytics’ 2020 SAR Insights focuses on the interplay between COVID-19 and Suspicious Activity Reports filed by Depository Institutions.
