Source: https://www.findknowdo.com/search-site/%22money%20laundering%22?solrsort=ds_fkd_sort_date%20desc&f%5B0%5D=im_field_agency%3A198&f%5B1%5D=sm_document_and_node_combined%3AEnforcement%20Release
Timestamp: 2019-01-23 08:08:17
Document Index: 208793461

Matched Legal Cases: ['§ 1957', '§ 1956', '§ 371', '§ 371', '§ 371', '§ 371', '§1343', '§78', '§1343', '§78', '§ 1341', '§ 1341', '§ 1957', '§ 1957', '§ 1341', '§ 1957']

FINRA Apply FINRA filter 338
Wire Fraud Apply Wire Fraud filter 254
Ponzi or Pyramid Apply Ponzi or Pyramid filter 91
Theft Apply Theft filter 86
Aiding and Abetting Apply Aiding and Abetting filter 68
Supervisory Failure Apply Supervisory Failure filter 46
Unregistered Securities Apply Unregistered Securities filter 34
Material Misstatements Apply Material Misstatements filter 33
Money Laundering Apply Money Laundering filter 31
Insider Trading Apply Insider Trading filter 26
Sales Violation Apply Sales Violation filter 22
Conflict of Interest Apply Conflict of Interest filter 15
Best Execution Apply Best Execution filter 12
Wash Trades Apply Wash Trades filter 11
Senior Citizen (Targeting) Apply Senior Citizen (Targeting) filter 8
FCPA Violations Apply FCPA Violations filter 7
Unauthorized Transactions Apply Unauthorized Transactions filter 7
Oil and Gas Fraud Apply Oil and Gas Fraud filter 6
Inadequate Policies Apply Inadequate Policies filter 5
Telemarketers (Fraudulent) Apply Telemarketers (Fraudulent) filter 5
Late Trading Apply Late Trading filter 4
Inadequate Controls and Procedures Apply Inadequate Controls and Procedures filter 3
Markups Apply Markups filter 3
Spoofing / Layering Apply Spoofing / Layering filter 3
Churning Apply Churning filter 2
Pump and Dump Apply Pump and Dump filter 2
Recordkeeping Violations Apply Recordkeeping Violations filter 2
Regulation S Violations Apply Regulation S Violations filter 2
SAR Filing Deficiency Apply SAR Filing Deficiency filter 2
Reg Reporting Violations Apply Reg Reporting Violations filter 1
Short Selling Violations Apply Short Selling Violations filter 1
Unregistered Broker Apply Unregistered Broker filter 1
0 - $499,999 Apply 0 - $499,999 filter 55
$1,000,000 and up Apply $1,000,000 and up filter 133
SEC Admin Proceeding 34-84915 - James P. Griffin (Dec. 21, 2018)
fraud, and five counts of money laundering against Griffin. On November 25, 2015, the USAO filed a ... fraud, eight counts of wire fraud, and five counts of money laundering against Griffin. On November 25 ... of money laundering (pursuant to 18 U.S.C. §§ 1957 and 2(b)). The Superseding Indictment alleged, inter ...
SEC Admin Proceeding 34-84851 - Central States Capital Markets LLC (Dec. 19, 2018)
included two counts of money laundering. 7. Blaine Tucker, deceased, was a resident of Overland Park ...
SEC Admin Proceeding 34-84828 - UBS Financial Services Inc. (Dec. 17, 2018)
these services, UBSFS was susceptible to the risks of money laundering associated with these services. 2. From ... brokerage accounts, which are also offered by other broker-dealers, presented additional money laundering ... , Respondent.dopted as part of its AML program a document entitled “Money Laundering Prevention Guide” (“Prevention ...
SEC Litigation Release LR-24364 - Mark Suleymanov (Dec. 3, 2018)
and money laundering, ensuring that your funds are always protected.” 28. Contrary to these representations ...
SEC Admin Proceeding IA-5066 - Mark Hotton (Nov. 19, 2018)
pleaded guilty to one count of conspiracy to commit money laundering in violation of 18 U.S.C. § 1956(h) ...
SEC Admin Proceeding 34-84617 - Vantage Drilling International (Nov. 19, 2018)
, 2016, the Agent was convicted of corruption and money laundering. Director A was also charged in Brazil ...
SEC Admin Proceeding 34-84359 - Paul T. Rampoldi (Oct. 4, 2018)
, 2018, Rampoldi was convicted of conspiracy to commit securities fraud, wire fraud, and money laundering ... conspired to commit securities fraud, wire fraud, and money laundering. The indictment alleged that ... , Rampoldi was convicted of conspiracy to commit securities fraud, wire fraud, and money laundering ...
SEC Admin Proceeding 34-84342 - Patrick Lanier (Oct. 2, 2018)
pleaded guilty to a single count of money laundering and was released on bond until his sentencing date ... fugitive and money launderer. Lanier also aided Ballow in making public offerings of the securities ... guilty to a single count of money laundering and was released on bond until his sentencing date ...
SEC Litigation Release LR-24292 - Thomas J. Connerton and Safety Technologies LLC (Sep. 28, 2018)
Defendant in SEC Enforcement Action Convicted of Misleading Investors, Money Laundering, and Tax Evasion Litigation Release No. 24292 / September 28, 2018 Securities and Exchange Commission v. Thomas J. Connerton and Safety Technologies LLC, No. 16-cv-00882 (D. Conn. filed June 8, 2016) United States v. Thomas ...
SEC Admin Proceeding 34-84268 - Cory Ryan Williams (Sep. 24, 2018)
No. 2:17-cr-01279-DLR (D. Ariz.) to one count of transactional money laundering in violation of Title ... Williams, Case No. 2:17-cr-01279-DLR (D. Ariz.) to one count of transactional money laundering in violation ...
SEC Admin Proceeding 34-83777 - Steven J. Dykes (Aug. 3, 2018)
million, (2) commit securities fraud, and (3) engage in money laundering. Dykes further admitted in his ... to defraud at least thirty investors of over $6 million, (2) commit securities fraud, and (3) engage in money laundering. Dykes further admitted in his plea agreement that in or around late 2012 he was hired to work ...
SEC Litigation Release LR-24219 - Howard M. Appel (Jul. 30, 2018)
securities fraud and one count of conspiracy to commit money laundering in connection with his role ...
SEC Litigation Release LR-24214 - Christopher A. Faulkner et. al. (Jul. 25, 2018)
committed securities fraud, mail fraud, and money laundering. The SEC's litigation against Faulkner ...
SEC Admin Proceeding 34-83604 - Eugene Terracciano (Jul. 6, 2018)
warrant a SAR filing: Aegis will file [SARs] for transactions that may be indicative of money laundering ... country identified as a money laundering risk or a bank secrecy haven; and vi. The customer ... schemes and money laundering activity. C. Terracciano Failed to File SARs on Aegis’ Behalf Concerning ...
SEC Admin Proceeding 34-83460 - Nicholas Rubbo (Jun. 19, 2018)
States, namely mail fraud, securities fraud, and money laundering, in violation of 18 U.S.C. § 371 ... fraud, and money laundering, in violation of 18 U.S.C. § 371, before the United States District Court ...
SEC Litigation Release LR-24168 - Larry A. Holley et al. (Jun. 18, 2018)
, of Flint, Michigan with conspiracy to commit wire and mail fraud, wire fraud, mail fraud, and money laundering. Holley and Gray are currently defendants in a parallel enforcement action brought by the SEC. ...
SEC Admin Proceeding 34-83252 - Jerard Basmagy (May 16, 2018)
and procedures stated that Chardan would file SARs “for transactions that may be indicative of money laundering ... of money laundering activity,” including, among other things, “heavy trading in low- priced securities ... for transactions that “may be indicative of money laundering activity.” In that context, Chardan defined suspicious ...
SEC Admin Proceeding 34-83251 - Chardan Capital Markets LLC (May 16, 2018)
of money laundering activity,” including, among other things, “heavy trading in low- priced securities ... and procedures stated that Chardan would file SARs “for transactions that may be indicative of money laundering ... for transactions that “may be indicative of money laundering activity.” In that context, Chardan defined suspicious ...
SEC Admin Proceeding 34-83234 - Angela Rubbo Beckcom Monaco (May 15, 2018)
thirty investors of over $6 million, (2) commit securities fraud, and (3) engage in money laundering. ... million, (2) commit securities fraud, and (3) engage in money laundering. Monaco further admitted in her ...
SEC Litigation Release LR-24140 - Leon Vaccarelli et al. (May 14, 2018)
, was indicted on multiple counts of mail fraud, wire fraud, and money laundering in connection with a scheme ...
SEC Admin Proceeding 34-83215 - Steven J. Dykes (May 11, 2018)
thirty investors of over $6 million, (2) commit securities fraud, and (3) engage in money laundering. ... to defraud at least thirty investors of over $6 million, (2) commit securities fraud, and (3) engage in money laundering. Dykes further admitted in his plea agreement that in or around late 2012 he was hired to work ...
SEC Admin Proceeding 34-83176 - Joseph A. Rubbo (May 4, 2018)
, and money laundering, in violation of 18 U.S.C. § 371, in a criminal case brought in the United States ... fraud; and (3) engage in money laundering. As part of the scheme, the criminal defendants made false ... , securities fraud, and money laundering, in violation of 18 U.S.C. § 371, in a criminal case brought ...
SEC Admin Proceeding 34-83151 - Douglas A. McClain Jr. (May 2, 2018)
in violation of 18 U.S.C. §1343; securities fraud in violation of 15 U.S.C. §78; and money laundering ... U.S.C. §1343; securities fraud in violation of 15 U.S.C. §78; and money laundering in violation of 18 ...
SEC Admin Proceeding 34-18447 - Jeremy R. Lundin (Apr. 23, 2018)
to one count of mail fraud in violation of 18 U.S.C. § 1341 and one count of money laundering ... pled guilty to one count of mail fraud in violation of 18 U.S.C. § 1341 and one count of money laundering in violation of 18 U.S.C. § 1957 before the United States District Court for the District ...
SEC Admin Proceeding IA-4894 - Jeremy R. Lundin (Apr. 23, 2018)
count of money laundering in violation of 18 U.S.C. § 1957 before the United States District Court ... pled guilty to one count of mail fraud in violation of 18 U.S.C. § 1341 and one count of money laundering in violation of 18 U.S.C. § 1957 before the United States District Court for the District ...