Tag: AML

This Week In Securities Litigation (Week ending Feb. 8, 2019)

The Commission secured partial summary judgment in an action involving a recidivist securities law violator who failed to disclose that fact while soliciting investors that were not permitted to redeem their shares while the defendants redeemed their interests. The court

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This Week In Securities Litigation (Week ending Dec. 22, 2017)

Merrill Lynch settled proceedings with the Commission, agreeing to pay a $13 million penalty for failing to have adequate AML procedures with regard to the variety of services it offers clients such as ATMs and money transfers. The Commission also

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