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!

March 13, 2019

Cantor Fitzgerald Retains a Babysitter

FINRA Fines Cantor Fitzgerald $2 Million for Regulation SHO Violations and Supervisory Failures It’s bad enough to get a regulatory fine, but to add insult to […]
March 20, 2019

SEC targets 79

SEC hits 79 self-reporting Investment advisors with $125 million initiative The Securities and Exchange Commission (SEC) has settled charges against 79 investment advisers who will return […]
March 28, 2019

FINRA does not issue fines to balance its budget

FINRA chief says FINRA does not issue fines to balance its budget Writing in InvestmentNews, Reporter Mark Schoeff, Jr. recorded Financial Industry Regulatory Authority (FINRA) CEO […]
April 3, 2019

CFTC $1 Million Penalty

Commodities fraudster pays $1 million in fines Ten months of fraudulently soliciting and accepting $1,278,00 from seven customers with an eye towards trading commodity futures on […]
April 10, 2019

“Not-so” Sweetwater Investments

SEC punish thieving investment advisor From July 2007 to September 2018, investment advisor Dennis Gibb, the founder and sole owner of registered investment adviser Sweetwater Investments, […]