United States:
Broker-Dealer Firms Settle AML Charges
22 May 2018
Cadwalader, Wickersham & Taft LLP
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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.
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