Most Popular Security Content
An Assessment of Suspicious Activity Reports Filed by the Securities and Futures Industry
05/01/2009
By FinCEN Office of Regulatory Analysis
Securities Dealer Provides Details of High Yield Investment Program Scheme
05/01/2009
Six defendants pled guilty and received prison time for defrauding investors in a case that started when a securities firm noticed suspect transactions and reported the activity to law enforcement.
Suspicious Activity Reports in the Securities Industry: How to File a SAR, How SARs are Used, and the Consequences for Failure to File
05/01/2009
By Staff of the Securities and Exchange Commission6
Bogus Life Insurance Investment Vehicles Identified through SAR Filing
05/01/2009
The defendants in this case first settled a civil suit with the government concerning the sale of $7 million worth of fraudulent ?prime-bank? note investments to investors nationwide.
Mortgage Fraud Cases
05/01/2009
FinCEN has reported on the increase in the number of SARs that cite mortgage fraud as a potential violation.34 Law enforcement uses these SARs to investigate and prosecute mo