Finra Fines B-D $250K Over AML, Microcap Trading Procedures – Financial Advisor IQ

Feb 16, 2022

The Financial Industry Regulatory Authority says it has censured and fined a broker-dealer with offices in New York and Greenwich, Connecticut, over alleged violations related to one of its former principals responsible for compliance with anti-money laundering rules and a member of her family.

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Author: Alex Padalka


FINRA News and Information compiled by Costello Law Group.