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Securities Violations

14 posts

EB-5 projects expose financial institutions to risks ranging from Ponzi schemes, fraud, OFAC violations to […]

Anti-Money Laundering DSA in the News Ponzi Schemes SEC Securities Fraud Securities Violations

Alison Jimenez Interviewed by ABC News on EB-5 Fraud Schemes

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 …

Dynamic Securities Analytics’ 2016 Ponzi Scheme analytics has been in the news recently. Matt Levine […]

Anti-Money Laundering Ponzi Schemes Securities Fraud Securities Violations

DSA’s Ponzi Analytics in the News

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 …

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. president, Alison Jimenez, will speak at the February 9th, 2016 meeting […]

Broker-Dealers Fraud Audit Ponzi Schemes Presentations Securities Fraud Securities Litigation Securities Violations

Alison Jimenez to Present on Securities Fraud at ACFE Meeting

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

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

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