FINRA Fines Ex-Interactive Brokers CCO Over AML Lapses

By Al Barbarino (February 11, 2022, 9:38 PM EST) -- The Financial Industry Regulatory Authority levied a $25,000 fine and two-month ban against an ex-Interactive Brokers chief compliance officer on Friday, alleging the compliance industry veteran failed to keep the Connecticut-based broker-dealer's anti-money laundering program up to snuff for a more than five-year period. ...

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