Blog Posts Tagged with "FINRA"


FINRA Fines Citigroup for Failing to Detect Fraud

August 11, 2011 Added by:Headlines

FINRA found that Citigroup failed to detect or investigate a series of "red flags" that upon further inquiry should have alerted the firm to the improper use of customer funds, including reports reflecting suspicious transfers of funds between unrelated accounts...

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Privacy Enforcement Storm: HHS, FTC and FINRA Act

March 03, 2011 Added by:David Navetta

If your organization does not have a privacy program in place, now is the time to act. Legal compliance function, vendor management and appropriate security provisions in vendor and customer agreements are just a few of the hallmarks of a program that could help avoid enforcement actions...

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