GunnAllen Pays $750K To Settle FINRA Action
The settlement, which was announced by FINRA Thursday, also closes the regulator’s investigation into GunnAllen’s alleged anti-money laundering, reporting, record-keeping and supervisory deficiencies. The company neither admitted to nor denied FINRA’s allegations.
In December 2006, FINRA barred the former head trader implicated in the trade allocation scheme, Alexis J. Rivera....
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