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Securities Enforcement

24 posts

The Cost of Not Conducting an Independent AML Audit

If you are an AMLCO or CCO who must justify the cost of your firm’s […]

AML Audit Anti-Money Laundering Broker-Dealers Money Laundering Enforcement Securities Enforcement

The Cost of Not Conducting an Independent AML Audit

One of the most useful things an economist can do in litigation consulting is to put […]

Anti-Money Laundering Data Analytics Money Laundering Enforcement Ponzi Schemes Securities Enforcement

Putting Madoff’s Theft into Context

The Collision of Collapses

The media talks of the housing market collapse, the tightening credit market and the stock […]

Broker-Dealers Securities Arbitration Securities Enforcement Securities Fraud Securities Litigation Securities Regulation Securities Violations

The Collision of Collapses

Complaints filed with Florida Securities Regulator Spikes

The number of complaints filed with the Florida Division of Securities hasquadrupled over 2007 levels according […]

Florida Securities Enforcement Securities Fraud Securities Regulation

Complaints filed with Florida Securities Regulator Spikes