Tag: FINCEN

SEC Charges Wells Fargo With Failing to File SARs

The Commission has an on-going program monitoring whether broker-dealers timely file suspicious activity reports or SARS with the Financial Crimes Network or FinCEN. Its most recent case in this area focused on the failure of a firm to properly file

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SEC Charges BD For Repeated AML Violations

The Commission filed its second action this year centered on the failure of a broker-dealer to file SARs. The first was In the Matter of Windsor Street Capital, LP, Adm. Proc. File No. 3-17813 (Jan. 25, 2017). That action is

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