Try our Advanced Search for more refined results

Broker, AML Chief Settle SEC Suspicious Activity Claims

By Sarah Jarvis ( December 17, 2024, 9:41 PM EST) -- Broker-dealer SogoTrade Inc. and its former anti-money laundering compliance officer on Tuesday agreed to pay fines and other terms to settle U.S. Securities and Exchange Commission charges that they repeatedly failed to investigate suspicious customer activity or file related reports....

Law360 is on it, so you are, too.

A Law360 subscription puts you at the center of fast-moving legal issues, trends and developments so you can act with speed and confidence. Over 200 articles are published daily across more than 60 topics, industries, practice areas and jurisdictions.


A Law360 subscription includes features such as

  • Daily newsletters
  • Expert analysis
  • Mobile app
  • Advanced search
  • Judge information
  • Real-time alerts
  • 450K+ searchable archived articles

And more!

Experience Law360 today with a free 7-day trial.

Start Free Trial

Already a subscriber? Click here to login

Attached Documents

Related Sections

Law Firms

Government Agencies

Hello! I'm Law360's automated support bot.

How can I help you today?

For example, you can type:
  • I forgot my password
  • I took a free trial but didn't get a verification email
  • How do I sign up for a newsletter?
Ask a question!