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- FINRA Fines Robinhood Financial, LLC $1.25 Million for Best Execution Violations
- FINRA Executive Vice President for Regulatory Policy and Legal Compliance Officer Tom Selman Announces Retirement
- FINRA Promotes Jessica Hopper to Head of Enforcement
- Report from FINRA Board of Governors Meeting – December 2019
- FINRA Releases 2020 Risk Monitoring and Examination Priorities Letter
- FINRA, Cboe, Nasdaq, NYSE and Affiliated Exchanges Fine Credit Suisse Securities $6.5 Million for Supervision and Market Access Rule Violations
- FINRA Orders Oppenheimer & Co. Inc. to Pay $3.8 Million in Restitution to Customers for Supervisory Failures Involving Unit Investment Trusts
- SEC Proposes to Modernize Key Market Infrastructure Responsible for Collecting, Consolidating, and Disseminating Securities Market Data
- SEC Announces Nancy Sumption as Senior Advisor to the Chairman for Cybersecurity Policy
- SEC Charges Orchestrator of Cryptocurrency Scheme Ensnaring Physicians
- Paul A. Montoya Named Associate Regional Director in Chicago Office
- SEC Investor Advisory Committee to Meet on Feb. 27
- ABN AMRO Clearing Chicago Charged With Improper Handling of ADRs
- SEC Issues Agenda for February 10 Meeting of the Fixed Income Market Structure Advisory Committee
- Mitch Atkins to Speak at 2019 FMA Securities Compliance Seminar
- Atkins Discusses FinCEN CDD Rule on FINRA AML Panel
- AML Surveillance – Major FINRA AML Case
- Mitch Atkins Presenting at FINRA South Region Conference
- Epic BD AML Compliance Failure Yields Another Record Fine
- FINRA Tolerance for AML Compliance Failures Fading