Overlapping Risks, Part 2: Anti-Money Laundering and Elder Exploitation
A broker-deal firm’s anti-money laundering efforts may overlap with any number of other regulatory concerns. On this episode, the second in a two-part series, we’re looking at how AML may overlap with a firm’s efforts to protect senior investors from exploitation and fraud.
2018060308502 Matthew B. Nekuza CRD 6332114 AWC jlg (2020-1607559599998).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2018060308502 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Matthew B. Nekuza (Respondent)
Former General Securities Representative CRD No. 6332114 Pursuant to FINRA Rule 9216, Respondent Matthew B. Nekuza submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
SR-FINRA-2020-040
Financial Industry Regulatory Authority, Inc.