FINRA Disciplinary Actions Underscore AML Focus

By Brian Rubin and Adam Pollet (March 10, 2020, 5:39 PM EDT) -- A review of the Financial Industry Regulatory Authority's monthly disciplinary reports, press releases and online database shows that in 2019 the amount of fines, restitution and cases decreased compared with 2018, continuing the downward trend from the past few years.[1] But FINRA continues to target specific areas, such as anti-money laundering, or AML, violations, which for the fourth consecutive year has resulted in the largest amount of fines.

Fines, Restitution and Disciplinary Actions

The fines FINRA reported in 2019 decreased significantly to $44 million from $61 million in 2018, a 28% decrease.[2] This continues the year-over-year trend of reductions in fines...

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