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...
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