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OPEN TO THE PUBLIC INVESTING, INC.
Information
- Reporter ID
- TTSI
- Reporter Type
- Broker-Dealer
- Current Report URL
- https://public.s3.com/rule605/ttsi
Submission History
| Submit Date | Report URL | Comments |
|---|---|---|
| 08-04-2026 | https://public.s3.com/rule605/ttsi |
NOMAD INVESTMENT SERVICES
Information
- Reporter ID
- NOMA
- Reporter Type
- Broker-Dealer
- Current Report URL
- https://public.s3.com/rule605/noma/
Submission History
| Submit Date | Report URL | Comments |
|---|---|---|
| 09-11-2026 | https://public.s3.com/rule605/noma/ | |
| 08-04-2026 | https://public.s3.com/rule605/NOMA |
Inside FINRA's Financial Intelligence Fusion Center
On this episode of FINRA Unscripted, learn what has happened since the launch of FINRA's Financial Intelligence Fusion Center: how it works, early successes, and how information sharing between FINRA and member firms is transforming the fight against cyber and fraud threats.
EQUITABLE ADVISORS, LLC
Information
- Reporter ID
- EQHA
- Reporter Type
- Broker-Dealer
- Current Report URL
- https://www.lpl.com/disclosures/sec-605-equitable-disclosures.html
Submission History
| Submit Date | Report URL | Comments |
|---|---|---|
| 08-03-2026 | https://www.lpl.com/disclosures/sec-605-equitable-disclosures.html |
TRADE-PMR INC.
Information
- Reporter ID
- TPMR
- Reporter Type
- Broker-Dealer
- Current Report URL
- https://www.tradepmr.com/order-routing-disclosures
Submission History
| Submit Date | Report URL | Comments |
|---|---|---|
| 08-03-2026 | https://www.tradepmr.com/order-routing-disclosures |
2021069426901 UBS Financial Services Inc. CRD 8174 AWC vrp.pdf
From January 2019 through June 2023, UBS Financial failed to establish and implement policies and procedures for its AML compliance program that could be reasonably expected to detect and cause the reporting of suspicious transactions involving foreign currency wires. As a result, the firm failed to reasonably monitor and investigate foreign currency wires involving, among other issues, high-risk geographic locations, unusually large dollar amounts, and no apparent business purpose.