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Financial Industry Regulatory Authority (FINRA) › BNP Paribas

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FINRA Fines BNP Paribas $15 Million for Anti-money Laundering Violations

The Volkov Law Group on 11/7/2019

The Financial Industry Regulatory Authority is not known for its aggressive enforcement record. But that may be changing. FINRA recently fined BNP Paribas for $15 million for anti-money laundering deficiencies in the...more

Bridging the Week - August 2015 #5

Katten Muchin Rosenman LLP on 9/1/2015

Charles Schwab Fined US $2 Million by FINRA for Net Capital Deficiencies: Charles Schwab & Co. agreed to pay US $2 million to the Financial Industry Regulatory Authority to resolve allegations that it had net capital...more

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Financial Industry Regulatory Authority (FINRA) › BNP Paribas

FINRA Fines BNP Paribas $15 Million for Anti-money Laundering Violations

Bridging the Week - August 2015 #5

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