United States: FINRA Charges Firm With AML Failures In Sales Of Microcaps – Mondaq News Alerts

By Zennie Abraham November 30, 2018 #microcap

United States: FINRA Charges Firm With AML Failures In Sales Of Microcaps
Mondaq News Alerts
FINRA’s Department of Enforcement (the “Department”) charged a broker-dealer and its founder with anti-money laundering (“AML”) and supervisory failures related to microcap stock activities. In a Complaint filed with FINRA’s Office of Hearing Officers …

By Zennie Abraham

Zennie Abraham | Zennie Abraham or "Zennie62" is the founder of Zennie62Media which consists of zennie62blog.com and a multimedia blog news aggregator and video network, and 78-blog network, with social media and content development services and consulting. Zennie is a pioneer video blogger, YouTube Partner, social media practitioner, game developer, and pundit. Note: news aggregator content does not reflect the personal views of Mr. Abraham.

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United States: FINRA Charges Firm With AML Failures In Sales Of Microcaps – Mondaq News Alerts

By Zennie Abraham

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