United States:
Broker-Dealer Firms Settle AML Charges
22 May 2018
Cadwalader, Wickersham & Taft LLP
To print this article, all you need is to be registered or login on Mondaq.com.
Two broker-dealers firms agreed to settle SEC charges and FINRA charges of anti-money laundering
violations for failing to report suspicious penny stock sales. The
parties agreed to settle the charges without admitting or denying
the SEC and FINRA findings.
The content of this article is intended to provide a general
guide to the subject matter. Specialist advice should be sought
about your specific circumstances.
POPULAR ARTICLES ON: Government, Public Sector from United States
Pregnant Workers Fairness Act Blocked In Texas
Ogletree, Deakins, Nash, Smoak & Stewart
On February 27, 2024, a federal judge for the U.S. District Court for the Northern District of Texas blocked enforcement of the Pregnant Workers Fairness Act (PWFA) against the State of Texas...