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
- FINRA Publishes First Annual Industry Snapshot
- Military Spouses Receive Fellowships to Conduct Financial Counseling
- FINRA Requests Comment on Fintech Innovation in the Broker-Dealer Industry
- FINRA Announces Enforcement Structure, Senior Leadership Team
- Report from FINRA Board of Governors Meeting – July 2018
- FINRA Handles Record Volume of Market Activity through First Six Months of 2018
- FINRA Launches Enhanced Public Records Review
- SEC Adopts Amendments to Simplify and Update Disclosure Requirements
- Citigroup to Pay More Than $10 Million for Books and Records Violations and Inadequate Controls
- SEC Charges Ameriprise Financial Services for Failing to Safeguard Client Assets
- SEC Files Charges in Municipal Bond “Flipping” and Kickback Schemes
- SEC Bars Perpetrator of Initial Coin Offering Fraud
- SEC Charges U.S. Congressman and Others With Insider Trading
- SEC Charges Cloud Communications Company and Two Senior Executives With Misleading Revenue Projections
- 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
- Atkins in Forbes: Email and Social Media Compliance