Money laundering continues to be a key focus of regulators. Recently, for example, FINCEN Director Jennifer Shasky Calvery discussed money laundering through real estate transactions. Earlier this year the SEC brought an action against a broker-dealer based on money laundering …
Broker, Compliance Officer Fined For AML Failures Read More »
This Week In Securities Litigation (Week ending February 5, 2016) The Commission filed another group of settled actions under its initiative regarding municipal bond underwriters. This time a group of fourteen actions were filed. Each centered largely on claims that …
This Week In Securities Litigation (Week ending February 5, 2016) Read More »