How to find us
Email or call to speak directly with Mitch Atkins.
Find immediate answers.
We respect your privacy and your time.
No charge for an initial consultation.
No pushy sales techniques.
Get in touch
- New Research: Many U.S. Investors With Low Financial Literacy Levels Are Ill Equipped to Manage Personal Finances, Especially Investments
- New Research: Financial Well-Being of U.S. Military Veterans Improving, Surpassing Non-Veterans
- FINRA Orders Merrill Lynch, Pierce, Fenner & Smith Inc., Raymond James & Associates, Inc., and Raymond James Financial Services, Inc. to Pay More Than $12 Million in Restitution to Customers for Supervisory Failures Involving 529 Plan Share Classes
- FINRA Foundation Awards 2019 Ketchum Prize to Dr. Olivia S. Mitchell
- FINRA Fines BNP Paribas Securities Corp. and BNP Paribas Prime Brokerage, Inc. $15 Million for AML Program and Supervisory Failures
- FINRA Board of Governors Appoints Peter Fisher as Newest Governor
- FINRA Bars Ami Forte and Charles Lawrence for Their Roles in Churning Accounts of Elderly Client with Dementia
- SEC Awards Over $260,000 to Whistleblowers for Their Help in Spotting Securities Fraud
- Marie-Louise Huth Named Chief Counsel in Division of Economic and Risk Analysis
- SEC Wins Jury Trial in Layering, Manipulative Trading Case
- SEC Issues Agenda for Nov. 12 Meeting of Small Business Capital Formation Advisory Committee
- SEC Charges Adviser for Running Ponzi Scheme Targeting Haitian Community
- SEC Division of Enforcement Publishes Annual Report for Fiscal Year 2019
- SEC Proposes Amendments to Modernize Shareholder Proposal Rule
- 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