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FINRA Sanctions TradingBlock With $210,000 Penalty Over Multi-Year AML and Supervisory Compliance Breakdowns
The Financial Industry Regulatory Authority (FINRA) has imposed disciplinary action against the brokerage firm TradingBlock, issuing a $210,000 monetary penalty alongside a public censure after identifying long-running compliance and supervisory deficiencies. The enforcement action reflects ongoing regulatory expectations that broker-dealers maintain fully functional systems designed to prevent financial misconduct and protect market integrity. Regulators emphasized that
Jun 94 min read
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