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Anti Money Laundering

Brokerage Firm Charged With Failing to Comply With Anti-Money Laundering Laws

06/06/2017(0)
The Securities and Exchange Commission (SEC) has issued an announcement to inform that the Commission charges a Salt Lake City-based brokerage firm with securities law violations related to its alleged ... Read More
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SEC fined brokerage firm for violated anti-money laundering rules

05/02/2016(0)
The Securities and Exchange Commission announced that a Miami-based brokerage firm agreed to pay a $1 million penalty to settle charges that it violated anti-money laundering rules by allowing foreign ... Read More
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SEC Charges Lending Company and Brokerage Firm With Fraud

04/02/2016(0)
The Securities and Exchange Commission announced fraud charges against a Manhattan-based lending company and its owner accused of repeatedly lying to investors purchasing high-yield securities. The SEC also charged the ... Read More
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IG Group announces Chief Executive Appointment

04/12/2015(0)
IG Group has issued a press release to announce the appointment of Peter Hetherington as Chief Executive Officer (CEO). Peter assumed the role of Interim CEO at the AGM ... Read More
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LPL Financial: Another broker is looking to launch financial robo adviser

30/07/2015(0)
LPL Financial plans to launch robo-adviser in next two months Firm chief Arnold says robo won’t replace financial advisers but will have a place in the market LPL Financial ... Read More
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SEC Announces Charges Against Compliance Director Accused of Defrauding Investors and Stealing Brokerage Firm Assets

29/05/2015(0)
The Securities and Exchange Commission today announced fraud charges against a Long Island man accused of fleecing investors and stealing money from a brokerage firm where he worked as ... Read More
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SEC Charges Brokerage Firm Co-Owners With Defrauding Investors

21/05/2015(0)
The Securities and Exchange Commission today announced fraud charges against the co-owners of a Manhattan-based brokerage firm. The SEC alleges that as Arjent LLC and its UK-based affiliate Arjent ... Read More
Quaestor

Hungary brokerage troubles widen with Quaestor clampdown

12/03/2015(0)
Third brokerage in a row to face regulatory action Quaestor bond issues may have exceeded permitted limit – cbank Bond redemptions exceeded its liquid asset-Quaestor Investment firm asks for ... Read More
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SEC Obtains Nearly $70 Million Judgment Against Richmond, Va.

04/08/2014(0)
The Securities and Exchange Commission has announced that it has obtained a final judgment in federal court in Tennessee requiring a Richmond, Va.-based financial services holding company, a subsidiary ... Read More
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SEC charges brokerage firm

15/04/2014(0)
The US Securities and Exchange Commission has announced another round of charges in its ongoing case against several individuals involved in a massive kickback scheme to secure the bond ... Read More
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