Stephan Gittings

The Patrina Newsroom

Staying up to date with the changes and developing trends in the world of compliance is vital to reducing your exposure to risk and non-compliance. Each week our team searches for topics that are important to our regulatory environment and creates articles that will inform and educate our readers. Our intent is not to single out any businesses because of their lack of oversight, but to merely keep our readers abreast of the developing trends in regulatory compliance. Staying out of the regulators’ crosshairs is challenging and we hope the articles we share are informative and help you to strength your compliance initiatives.

Your thoughts and comments are greatly appreciated!

May 25, 2022

SEC is reportedly checking banker cell phones in a Wall Street messaging probe

Read Full Article The U.S. Securities and Exchange Commission has launched a search through 100-plus personal mobile phones of top Wall Street dealmakers as it widens […]
May 25, 2022

FINRA Hits An FA For Running A Subscription-Based Investor Website

Read Full Article On May 16, 2022, FINRA published an Acceptance Waiver and Consent (“AWC”) in which FA, Robert Bennett Zamani, accepted a 14-month suspension and […]
May 25, 2022

Finfluencers Attracting Finra’s Attention

Read Full Article The Financial Industry Regulatory Authority is paying close attention to the role played by financial influencers, or finfluencers, according to the self-regulator’s executive […]
May 25, 2022

Continued SEC/FINRA “Complex” Product Concerns: Will Good Regulatory Harvest Arrive?

Read Full Article Like farmers uncertain about what crop to plant, the SEC and FINRA continue to cast about for ways to enhance their regulatory framework […]
May 25, 2022

SEC Awards Whistleblower Whose Tip Led to Opening of Investigation

Read Full Article On May 19, the U.S. Securities and Exchange Commission (SEC) issued a whistleblower award to an individual who voluntarily provided the agency with […]