2019062207301 Stephen Leroy Whittaker CRD 831764 AWC sl (2020-1604794769137).pdf
2018057742301 Raymond James & Associates, Inc. CRD 705 AWC RRM (2020-1604794768587).pdf
2019061365001 Dwight L. Dykstra CRD 1028210 AWC va (2020-1604708368020).pdf
2020065315701 Neemit M. Shah CRD 4812480 AWC sl (2020-1604708367891).pdf
Regulatory Notice 20-35
Summary
FINRA warns member firms of a widespread, ongoing phishing campaign that involves fraudulent emails purporting to be from FINRA asking member firms to complete a survey (see sample below). The email was sent from the domain “@regulation-finra.org” and was preceded by “info” followed by a number, e.g., [email protected]. FINRA recommends that anyone who clicked on any link or image in the email immediately notify the appropriate individuals in their firm of the incident.