Government
May 24, 2006
L.A. Firm's Settlement Marks SEC's First Use of Patriot Act
The Securities and Exchange Commission has brought its first enforcement action under the 2001 Patriot Act, accusing a Los Angeles securities firm of violating an anti-money-laundering provision of the law.
Daily Journal Staff Writer
The Securities and Exchange Commission has brought its first enforcement action under the 2001 Patriot Act, accusing a Los Angeles securities firm of violating an anti-money-laundering provision of the law.
The violation alleged in this case is technical and has nothing to do with terrorism, but at least one observer sa...
For only $95 a month (the price of 2 article purchases)
Receive unlimited article access and full access to our archives,
Daily Appellate Report, award winning columns, and our
Verdicts and Settlements.
Or
$895, but save $100 when you subscribe today… Just $795 for the first year!
Or access this article for $45
(Purchase provides 7-day access to this article. Printing, posting or downloading is not allowed.)
Already a subscriber?
Sign In