Violation Tracker Individual Record
Company:E-Trade Securities LLC and E-Trade Clearing LLC
Date:January 2, 2009
Offense Group:financial offenses
Primary Offense:anti-money-laundering deficiencies
The Financial Industry Regulatory Authority fined E-Trade $1 million for failing to implement reasonable anti-money laundering (AML) compliance programs.
Level of Government:federal
Action Type:agency action
Agency:Financial Industry Regulatory Authority
Civil or Criminal Case:civil
HQ Country of Parent:USA
HQ State of Parent:New York
Ownership Structure of Parent:publicly traded
Major Industry of Parent:financial services
Specific Industry of Parent:financial services
FINRA is a securities industry self-regulatory body authorized by the federal government.
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