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FINRA $650K Broker Fine Targets Miami Firm Over Compliance Lapses - USA Herald
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FINRA $650K Broker Fine Targets Miami Firm Over Compliance Lapses - USA Herald
A Miami-based brokerage, EFG Capital International, has agreed to pay $650,000 to settle Financial Industry Regulatory Authority (FINRA) allegations that the firm’s anti-money laundering (AML) systems failed to flag suspicious transactions and overlooked key compliance steps. In a Thursday settlement letter, FINRA announced that EFG Capital was fined and censured for compliance deficiencies tied to FINRA $650K broker fine targets EFG Capital for
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