Compliance News
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 9, 2018
Brrrrr! SEC shuts down $85 million Ponzi scheme and freezes assets Earlier last week, the Securities and Exchange Commission (SEC) unsealed fraud charges against a Mississippi […]
May 16, 2018
LPL Financial in more than $26 million worth of trouble Early this month, the North American Securities Administrators Association (NASAA) State Securities Regulators (NASAA) hit LPL […]
May 30, 2018
Brent Borland raised $21 million to “fund” Belize Airport, kept $6 million for self What’s the difference between financial scammers and the arcade game “Whack-a-Mole?” Not […]
June 7, 2018
SEC bars NY broker for $8 million investment scam Although it’s been attributed to the great showman PT Barnum, it was actually a banker named David […]
June 13, 2018
Merrill to pay more than $15 million to settle charges What happens when you don’t exercise proper oversight, or you fail to sufficiently supervise your professionals’ […]