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Continuing AML regulatory issue focus: A look at a recent SEC enforcement case, the SEC s response to Petition for Certiorari, and a FINRA regulatory notice regarding FinCEN s initiatives | Bryan Cave Leighton Paisner
Garcia Case Highlights Necessity of Knowing Your Customer and Listening to Internal Fraud Watchdogs. The SEC’s recent Order against a broker-dealer (the “Firm”) imposed.
New york
United states
Puerto rico
Eugenio garcia jimenez jr
Fincen statement of national priorities the
Mayaguez economic development financial strategies inc
Bank security act
Mayaguez economic development inc
District court
Firm financial intelligence unit
Supreme court
Treasury department
Us supreme court
Second circuit court
Customer identification program
Authority to enforce
LPL customer and unregistered advisor misappropriated $7 1 million from Mayagüez, Puerto Rico
In a compliance case, the SEC accused LPL of failing to verify conflicting information when it opened a customer account and processed wire transfers.
United states
Puerto rico
University of miami
Eugenio garcia jr
Eugenio garcia jimenez jr
Treasury department
Brokerage firm
Customer identification program
Margin department
University of miami school law
Economic development inc
Eugenio garcia jimenez
Investor rights clinic
Miami school
Eugenio garcia
Economic development
LPL to pay $4 8 million over anti-money laundering charges
The SEC charged the unregistered adviser at the heart of the matter with defrauding a town in Puerto Rico and misappropriating $7.1 million.
United states
Puerto rico
Eugenio garcia jimenez jr
Exchange commission
Financial industry regulatory authority inc
Eugenio garcia jimenez
Financial industry regulatory authority
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