Information Notice – 7/13/18

FINRA Warns Firms of Regulator Impersonators

Summary

Recently, FINRA has received reports of member firms receiving telephone calls from persons claiming to work for FINRA in an attempt to deceive firms into revealing confidential information. FINRA is notifying firms that these individuals may be impersonators. Firms that receive telephone calls or emails purportedly from someone at FINRA requesting any type of information—confidential or otherwise—should use caution and verify the identity of the caller or sender before providing any information or responding to an email.

Questions regarding this Notice should be directed to Anthony Cavallaro, Senior Vice President, Central Review Group – Office of Fraud Detection and Market Intelligence, at (646) 315-7319.