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FBI Cyber & Financial Crime Threat Briefing Series: Northeast Region
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Small Firm Briefing: AML Resources and Guidance
Small firms represent a critical portion of FINRA’s membership and often face regulatory challenges that are unique from their large firm counterparts. In an effort to provide additional compliance education, FINRA offers the Small Firm Briefing (formerly known as the Small Firm Conference Call), a free webinar series hosted by senior FINRA leaders who discuss trending topics, new rules and regulatory guidance and best practices.
ALBERT SECURITIES, LLC
Information
- Reporter ID
- ALBS
- Reporter Type
- Broker-Dealer
- Current Report URL
- https://public.s3.com/rule605/albs/
Submission History
| Submit Date | Report URL | Comments |
|---|---|---|
| 09-04-2026 | https://public.s3.com/rule605/albs/ |
2024083689501 Xing Su CRD 4031195 AWC ks.pdf
Between December 2022 and May 2025, Su owned half of a company (Company A) that
provided consulting services to public and private companies seeking to increase investor
interest in their companies. Separately, Su also individually entered into a consulting
contract to provide similar consulting services. However, Su never disclosed these
outside business activities to Univest. Su and Company A received compensation for
their consulting work in the form of restricted shares that were deposited in brokerage
accounts that Su did not disclose to Univest.