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: Securities Law Prof Blog

FINRA Fines Two Firms for Deficiencies in AML Programs

By Securites Lawprof

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FINRA fined two firms for inadequate anti-money laundering (AML) programs. Penson Financial Services, a Dallas-based securities clearing firm, settled charges and agreed to pay a fine of $450,000 for failing to establish and implement an adequate anti-money laundering (AML) program...

Full post as published by Securities Law Prof Blog on February 02, 2010 (boomark / email).

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