Proceeding Number E052005007501

Hearing Panel Decision in Department of Enforcement v. Sterne, Agee & Leach, Inc.
 

March 5, 2010

Respondent violated NASD Conduct Rules 3011 and 2110, and MSRB Rule G-41, by failing to implement an adequate anti-money laundering program for 2006 – 2007. For these violations, Respondent is fined $40,000.

View Decision (PDF 132 KB)

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