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: Securities Law Prof Blog

Three Broker Firms Settle FINRA Charges of Inadequate AML Compliance Programs

By Securites Lawprof

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FINRA announced that it fined three broker-dealers ? J.P. Turner & Co., of Atlanta, Park Financial Group, Inc., of Maitland, FL, and Legent Clearing, LLC, of Omaha ? for failing to implement reasonable anti-money laundering (AML) compliance programs, including the...

Full post as published by Securities Law Prof Blog on June 05, 2009 (boomark / email).

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