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 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

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

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 […]
June 23, 2022

SEC Charges New York RIA With Pushing Unregistered Securities

Read Full Article A New York-based RIA raised more than $75 million from hundreds of investors after soliciting unregistered securities offerings without approval from their registered […]
August 17, 2022

Eighteen Charged in Pump and Dump

Read Full Article The accused hacked into more than 30 retail accounts at several U.S. brokerage firms to artificially pump up the price and trading volume […]