Financial Intelligence Unit: Connecting FINRA Members with Actionable Information
FINRA's Financial Intelligence Unit acts as a nerve center for information on emerging threats impacting the financial industry with the aim of providing actionable intelligence to firms, other regulators and law-enforcement to keep investors safe. On this episode, we learn how the group has grown in recent years and hear how they are evolving the way they share information.
20-03720(5).pdf
Order to Confirm
2022075915101 Jeffrey Dattilo CRD 6803224 AWC lp (2024-1721953218369).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2022075915101
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Jeffrey Dattilo (Respondent)
Former General Securities Representative
CRD No. 6803224
Pursuant to FINRA Rule 9216, Respondent Jeffrey Dattilo submits this Letter of Acceptance,
Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule
violations described below.
2021069304501 SP Securities, LLC CRD 130560 AWC lp (2024-1721953223766).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2022077202301
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Katelyn Rae Cordido Reese (Respondent)
Former Investment Company and Variable Contracts Products Representative
CRD No. 6516916
Pursuant to FINRA Rule 9216, Respondent Katelyn Rae Cordido Reese submits this Letter of
Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the
alleged rule violations described below.
2023079718101 Alan N. Lichtenstein CRD 1877017 AWC lp (2024-1721953221158).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2023079718101
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Alan N. Lichtenstein (Respondent)
General Securities Representative
CRD No. 1877017
Pursuant to FINRA Rule 9216, Respondent Alan N. Lichtenstein submits this Letter of
Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the
alleged rule violations described below.
2022077202301 Katelyn Rae Cordido Reese CRD 6516916 AWC lp (2024-1721953220930).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2022077202301
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Katelyn Rae Cordido Reese (Respondent)
Former Investment Company and Variable Contracts Products Representative
CRD No. 6516916
Pursuant to FINRA Rule 9216, Respondent Katelyn Rae Cordido Reese submits this Letter of
Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the
alleged rule violations described below.