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.
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 Wang Co-founder and chief revenue officer of Deel. Photos: Courtesy company; Getty Images
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.
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 Hit with Anti-Money Laundering Violations
As part of a flurry of moves in the last days of the Biden administration, the Securities and Exchange Commission announced charges against broker/dealer and investment advisor LPL Financial for multiple failures related to its anti-money laundering program.
Philippines Seeks Money Laundering Charges Against Ex-Mayor
Philippine prosecutors are seeking money laundering charges against a former town mayor over her alleged involvement in an online casino project.
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
Moscow-Born Former Trump Associate Felix Sater Granted New Money-Laundering Trial
Felix Sater, the controversial real estate operative who was once part of President-elect Donald Trump’s inner circle, won ...
Oakland man sentenced to one year in prison for money laundering
Jose Luis Garcia, 57, of Oakland, wired large sums of cash to drug-trafficking areas without recording the true identity of ...
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Oakland money transfer owner sentenced to prison for money laundering
The co-owner of an Oakland money transfer business has been ordered to spend a year in federal prison after pleading guilty ...
No one objected to Mayfair cash deliveries, James Stunt tells money laundering trial
Socialite James Stunt has told his money laundering trial that he would have stopped large cash deliveries from taking place at his offices in London’s Mayfair “if anyone had raised an objection”.
Socialite tells money laundering trial he never agreed to ‘criminal enterprise’
James Stunt, the former son-in-law of F1 tycoon Bernie Ecclestone, is one of five men on trial over an alleged ...
Former Ankeny Chamber of Commerce CEO arrested for theft, money laundering
The former president and CEO of the Ankeny Chamber of Commerce has been arrested. This comes shortly after she was dismissed ...
Two Jamaicans convicted in money laundering scheme tied to Colombian cartel
Two Jamaican men were convicted on Friday for their roles in a sophisticated international money laundering organisation that ...
Indian national sentenced to 121 months for laundering millions through crypto business
FRANKFORT, Ky. — A man was sentenced for cyber crimes on Wednesday, according to a press release from the U.S. Attorney's ...