Financial Intelligence Unit: Connecting FINRA Members with Actionable Information

FINRA's Financial Intelligence Unit acts as a nerve center for information on emerging threats impacting the financial industry with the aim of providing actionable intelligence to firms, other regulators and law-enforcement to keep investors safe. On this episode, we learn how the group has grown in recent years and hear how they are evolving the way they share information.

2022075915101 Jeffrey Dattilo CRD 6803224 AWC lp (2024-1721953218369).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2022075915101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Jeffrey Dattilo (Respondent) Former General Securities Representative CRD No. 6803224 Pursuant to FINRA Rule 9216, Respondent Jeffrey Dattilo submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2021069304501 SP Securities, LLC CRD 130560 AWC lp (2024-1721953223766).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2022077202301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Katelyn Rae Cordido Reese (Respondent) Former Investment Company and Variable Contracts Products Representative CRD No. 6516916 Pursuant to FINRA Rule 9216, Respondent Katelyn Rae Cordido Reese submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
Subscribe to