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Thomas Fox Contributing Editor

Marc Alain Bohn Contributing Editor

Bill Waite Contributing Editor

Shruti J. Shah Contributing Editor

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Richard Bistrong Contributing Editor 

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Entries in penny stocks (1)

Friday
Feb072014

FINRA suspends compliance officer, levies highest-ever company AML fine 

The U.S. Financial Industry Regulatory Authority suspended a former AML compliance officer for Brown Brothers Harriman and assessed a record $8 million fine against the firm for its anti-money laundering failures.

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