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Securities Regulation

14 posts

DSA Winter 2018/Spring 2019 Presentations

Dynamic Securities Analytics, Inc.’s president, Alison Jimenez, wrapped up 2018 with two very different presentations. […]

Anti-Money Laundering Presentations Regulatory Analytics SARs SEC Securities Regulation Suspicious Activity Reports Terror Finance

DSA Winter 2018/Spring 2019 Presentations

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 …

Finra released a video interview on 1/10/18 with Mike Rufino, Executive Vice President and Head of […]

Broker-Dealers Employment Analytics Employment Arbitration FINRA Securities Arbitration Securities Litigation Securities Regulation

The Links between FINRA’s High Risk Rep Program and Expungement

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

Dynamic Securities Analytics, Inc. analyzed 2017 SAR-SF filings from FinCEN’s SAR Stats to identify filing […]

Anti-Money Laundering Broker-Dealers Data Analytics FinCEN SARs Securities Fraud Securities Regulation

Securities Fraud Schemes Account for less than 10% of SAR-SF …

Dynamic Securities Analytics, Inc. in partnership with Jordan Maglich of PonziTracker.com published interactive analytics of […]

Data Analytics Interactive Analytics Ponzi Schemes SEC Securities Enforcement Securities Fraud Securities Litigation Securities Regulation Securities Violations

Would you spend 21 days in prison for $1 million …

FINRA and the SEC recently released their respective 2016 exam & regulatory priorities. DSA reviewed […]

Anti-Money Laundering Broker-Dealers FINRA Money Laundering Enforcement SARs SEC Securities Regulation

SEC vs. FINRA: 2016 AML Priorities

On April 22nd, 2015 FinCEN released In Focus: SAR Stats (April 2015). Dynamic Securities Analytics, […]

Anti-Money Laundering FinCEN Money Laundering Enforcement Regulatory Analytics Securities Enforcement Securities Litigation Securities Regulation Securities Violations Suspicious Activity Reports

Suspicious Activity Reports for Market Manipulation Spikes

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

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