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FINRA Cracks Down on Deutsche Bank Securities, Scottrade

November 24, 2015 by Eugene Grygo

While alleged acts of fraud by Wall Street firms have gotten the spotlight this year, financial services regulator, the Financial Industry Regulatory Authority (FINRA), is making the point with some firms that they need to maintain high standards for regulatory reporting and for keeping their books and records as specified by industry watchdogs. Most recently,… Read More >>

Filed Under: Securities Operations, Industry News, General Interest, Governance, AML/Fraud/Financial Crime, Regulation & Compliance, Industry News Tagged With: 8of9, data scientists, Deutsche Bank Securities, Financial Industry Regulatory Authority, FINRA, fraud, Mary Kopczynski, reporting compliance, Scottrade, Securities and Exchange Commission (SEC), securities-related electronic records, supervisory failures, wall street, WORM-compliant

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