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Two Wall Street compliance officers charged for ignoring red flags
The SEC alleged Wednesday that two former anti-money laundering compliance officers for a New York broker dealer aided and abetted their firm’s AML violations.
One of the compliance officers settled the SEC charges.
Kevin McKenna agreed to pay penalties of $20,000 for aiding and abetting Aegis Capital Corp.’s violations.
The FCPA Blog
http://www.fcpablog.com/blog/2018/3/29/two-wall-street-compliance-officers-charged-for-ignoring-red.html