Tag: Money Laundering

SEC Punishes Broker-Dealer for Conducting Business over Text Messages or on Personal Devices

The Securities and Exchange Commission (“SEC”) entered an “Order” on September 23, 2020, against JonesTrading Institutional Services LLC (“firm”), a broker-dealer located in California, for failing to retain text messages relating to the firm’s business. The SEC fined JonesTrading $100,000. Read more!

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October 20, 2020 2

Speaking and Training on Fraud, Compliance, Ethics, and More…

Welcome to my site. I have spoken and been the keynote speaker for many conferences, including the ABA, ACC, ACFE, IIA, and IMA to name a few. I have designed customized training for the board, senior leadership, legal, compliance, internal audit, and others for some of the world’s largest organizations.

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November 11, 2019

Tag: Money Laundering

SEC Punishes Broker-Dealer for Conducting Business over Text Messages or on Personal Devices

Author: Jonathan T. Marks, CPA, CFF, CFE

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