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Convinced FINRA to close an anti-money laundering case against a broker-dealer CCO and settled the case for the broker-dealer.

ClientIndependent broker-dealer
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Represented a major independent broker-dealer in a FINRA investigation into anti-money laundering. We convinced FINRA to close its case against the chief compliance officer after he received a Wells notification. The firm settled the matter with FINRA.
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Experience - Convinced FINRA to close an anti-money laundering case against a broker-dealer CCO and settled the case for the broker-dealer.
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