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Calculations

14 posts

Arb Filing Trend Line

Predicting Finra arbitration filings based on market returns.

Broker-Dealers Calculations Employment Arbitration Regulatory Analytics Securities Arbitration Securities Litigation

Predicting Finra Arbitration Filing Trends

A story by Neil Weinberg in Bloomberg relied on Dynamic Securities Analytics (‘DSA’) analysis of […]

Broker-Dealers Calculations Data Analytics DSA in the News Employment Analytics Employment Arbitration FINRA Securities Arbitration Securities Litigation

DSA’s Securities Employment Dispute Stats Cited by Bloomberg

The move toward data analytics applied to broker supervision might seem on face value to […]

Algorithmic Bias Broker-Dealers Calculations Employment Analytics Employment Arbitration FINRA Regulatory Analytics Securities Enforcement Securities Regulation Securities Violations

The Potential for Bias against Women in FINRA’s High Risk …

FinCEN recently released stats on the 314(a) information request program. FinCEN stated that over 16,000 […]

314(b) Anti-Money Laundering Calculations Data Analytics FinCEN SARs Suspicious Activity Reports Terror Finance

16% of 314(a) Info Requests Involve Terrorism

The SEC filed a complaint on 12/20/2017 against Robert Shapiro the former CEO of the […]

Anti-Money Laundering Calculations Data Analytics Money Laundering Enforcement Ponzi Schemes SEC Securities Enforcement Securities Fraud Securities Regulation

The Mathematics Behind an Alleged Ponzi Scheme: Woodbridge Group

Once again, Dynamic Securities Analytics, Inc. partnered with PonziTracker to create interactive analytics of Ponzi […]

Anti-Money Laundering Broker-Dealers Calculations Data Analytics Interactive Analytics Ponzi Schemes Securities Enforcement Securities Fraud Securities Violations

DSA Partners with PonziTracker for 2015 Ponzi Scheme Analytics

Dynamic Securities Analytics, Inc. analyzed the numbers provided by FINRA Dispute Resolution covering all […]

Broker-Dealers Calculations Data Analytics FINRA Securities Arbitration Securities Litigation

How were 2014 FINRA Disputes Resolved? Analysis of Dispute Resolution …

Jordan Maglich of Ponzitracker.com wrote an in depth article that analyzed Ponzi schemes revealed and sentenced […]

Anti-Money Laundering Broker-Dealers Calculations Interactive Analytics Ponzi Schemes Securities Enforcement Securities Litigation

Ponzi Schemes Continue to Proliferate in 2014

Dynamic Securities Analytics analyzed the latest FinCEN In Focus: SAR Stat report and found that […]

Anti-Money Laundering Broker-Dealers Calculations FinCEN Money Laundering Enforcement Regulatory Analytics SARs Securities Enforcement Securities Litigation Securities Regulation Securities Violations Suspicious Activity Reports

45% Spike in SAR- Securities & Futures in 2014

Like any small business, Ponzi schemes can be a flash in the pan or a […]

Anti-Money Laundering Broker-Dealers Calculations Ponzi Schemes Securities Violations

How to Run a Successful Ponzi Scheme