Category: Alerts

Financial Industry Regulatory Authority Phishing Notice

Earlier this month the Financial Industry Regulatory Authority (“FINRA”) warned member firms of a “widespread ongoing phishing campaign that involves fraudulent emails.” These fraudulent emails purport to be from FINRA officers including Bill Wollman and Josh Drobnyk, have a fake domain name and request immediate attention to an attachment relating to your firm. See some examples of these emails in Attachment A.

FINRA reminds firms to verify the legitimacy of any suspicious email prior to responding to it, opening any attachments or clicking on any embedded links. For more information, firms should review the resources provided on FINRA’s Cybersecurity Topic Page.

About Alaric Compliance Services

With over 275 years of cumulative financial services compliance expertise, Alaric has managed over 100 regulatory examinations while serving as chief compliance officer. Leveraging this experience, our team of former regulators, lawyers, and in-house chief compliance officers can help your firm keep your compliance program healthy.

Call Alaric today to learn more about our cybersecurity services, at 1-888-243-2448 or or visit our website, at

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