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FINRA Fines Webull $4.2 Million for AML, Identity Verification and Surveillance Failures
The Financial Industry Regulatory Authority (FINRA) has fined Webull Financial LLC US$4.2 million following an investigation that identified significant deficiencies in the brokerage’s anti-money laundering (AML), customer identity verification, identity theft prevention and trading surveillance controls. The enforcement action, announced on 5 November 2026, concerns weaknesses spanning several years and highlights the challenges faced by rapidly expanding digital brokerage p
29 minutes ago5 min read
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