SEC charges La Jolla’s LPL Financial with anti-money laundering violations
LPL Financial, a La Jolla-based investment and wealth management services firm, will pay $18 million to settle charges by the Securities and Exchange Commission for violations of anti-money laundering policies.
LPL Financial to Pay $18M Fine for Anti-Money Laundering Failures
LPL Financial Holdings has agreed to pay an $18 million fine and to improve its anti-money laundering program to settle charges from the U.S. securities watchdog. The Securities and Exchange Commission on Friday said that it has laid charges against the broker-dealer and investment adviser for multiple failures related to its anti-money laundering program.
LPL Financial to pay civil penalty of $18M to settle SEC charges
The Securities and Exchange Commission announced charges against broker-dealer and investment adviser LPL Financial (LPLA) for multiple
Charlotte area financial services firm to pay $18M to settle anti-money laundering charges
The SEC detailed accusations against the broker-dealer firm, which has several thousand workers in the region.
LPL to Pay $18 Million to Resolve Anti-Money-Laundering Allegations
The Securities and Exchange Commission alleges that LPL didn’t adhere to an organized process for addressing restrictions on accounts that failed its customer identification program.
Malegaon Money Laundering Case: ED Prosecution Complaint (PC) Exposes Nationwide Cyber Fraud Ring And Intricate Money Laundering Network
Mumbai: The Enforcement Directorate (ED) has submitted a prosecution complaint (PC) against three accused – Siraj Memon, ...
devdiscourse16h
ED Unravels Rs 300 Crore Money Laundering Case in Karnataka
The Enforcement Directorate has seized 142 properties valued at Rs 300 crore in the Mysuru Urban Development Authority (MUDA) ...
Muda case: ED attaches over Rs 300 crore worth assets in money laundering case
The Enforcement Directorate has attached over 140 properties worth approximately Rs 300 crore in a money laundering case ...
Payroll Startup Deel Accused of Enabling Money Laundering
The startup, recently valued at $12 billion, says it hasn’t broken any laws. Alex Bouaziz Co-founder and CEO of Deel and Shuo ...
NL Times21h
ING under investigation in Belgium for not reporting knowledge of money laundering case
ING is under investigation in Belgium in connection with a money laundering case surrounding former European Commissioner ...
ED attaches properties worth Rs 3.44 crore in money laundering case linked to GATES Society in Andhra Pradesh
ED, Visakhapatnam, has provisionally attached 13 properties worth Rs3.44 crore linked to the diversion of funds from General ...
Malaysiakini1d
Muhyiddin's abuse of position, money laundering cases to be jointly heard
The Sessions Court in Kuala Lumpur allowed an application by the prosecution today for the four charges of abuse of position ...
ED attaches Rs 300 cr assets in MUDA-linked money laundering case
The Enforcement Directorate on Friday said it has attached more than 140 units of immovable assets worth about Rs 300 crore ...
ndtvprofit3d
ED Registers Money Laundering Case In Torres Ponzi Scheme
According to the police, 1,916 investors have complained about being cheated so far in Ponzi schemes operated by a private ...
bernama2d
Muhyiddin's Abuse Of Position, Money Laundering Cases To Be Heard Jointly
Muhyiddin, 77, as the prime minister (at the time) and President of Bersatu, was charged with using his position to obtain ...
SC criticises ED over bail conditions for women in money laundering cases
The Supreme Court has strongly criticised the Enforcement Directorate for submitting that rigorous bail conditions in money ...