Posts tagged FINRA Compliance Phishing.
On March 4, FINRA issued a Regulatory Notice warning member firms not to fall for phishing scam preying on compliance fears. The scam uses a phony email address, supports@finra-online.com, demanding an immediate response to an “attached report” of “regulatory non-compliance.” FINRA doesn’t have a “finra-online” domain and its gTLD is “.org” not “.com”.
Regulatory Notice 21-08 (Mar. 4, 2021) is here.
Thomas K. Potter, III (tpotter@burr.com) is a partner in the Securities Litigation Practice Group at Burr & Forman, LLP. Tom is licensed in Tennessee ...
Tags: Compliance Phishing, finra, FINRA Compliance Phishing, FINRA scam, Regulatory non-compliance, Regulatory Notice