Posts tagged Regulatory non-compliance.
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FINRA Warns on Compliance Phishing

On March 4, FINRA issued a Regulatory Notice warning member firms not to fall for phishing scam preying on compliance fears.  The scam uses a phony email address, supports@finra-online.com, demanding an immediate response to an “attached report” of “regulatory non-compliance.”  FINRA doesn’t have a “finra-online” domain and its gTLD is “.org” not “.com”.

Regulatory Notice 21-08 (Mar. 4, 2021) is here.

Thomas K. Potter, III (tpotter@burr.com) is a partner in the Securities Litigation Practice Group at Burr & Forman, LLP. Tom is licensed in Tennessee ...

Tags: Compliance Phishing, finra, FINRA Compliance Phishing, FINRA scam, Regulatory non-compliance, Regulatory Notice
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