Tag: AML

SEC Settles Another AML Action

The Commission has increasingly focused on anti-money laundering compliance and the filing of SARs. See, e.g., SEC v. Alpine Securities Corp., No. 1:17-cv-04179 (S.D.N.Y. Filed June 5, 2017). Earlier this year the agency filed an administrative proceeding against a broker

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This Week In Securities Litigation (Week ending June 9, 2017)

Chairman Clayton continued to build the senior staff this week, appointing Acting Enforcement Division Director Stephanie Avakian and Sullivan and Cromwell partner Steven Peikin as Co-Directors of the Division of Enforcement. The new Division co-directors identified cyber crime as the

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