A broker-dealer settled FINRA charges for failing to (i) implement reasonably designed AML policies, (ii) identify and respond to potentially manipulative trading and (iii) establish sufficient market access controls and procedures.
A broker-dealer settled FINRA charges for failing to maintain written AML policies reasonably designed to detect suspicious transactions.
A California-based broker-dealer settled FINRA charges for failing to maintain adequate supervisory protocols regarding outside business activities and private securities transactions and for failing to comply with a FinCEN mandated audit.
A registered representative and compliance supervisor settled FINRA charges for improper supervision of his firm's AML program.
A firm providing execution and routing services to broker-dealers settled FINRA and NYSE Arca charges for failing to establish, document and maintain a supervisory system, and for certification failures regarding the firm's regulatory risk management controls.