Thursday - March 12, 2026
A.G. Davenport, Bureau of Securities Announce Consent Order With N.J. Broker-Dealer That Failed to Maintain Programs to Prevent Money Laundering and Other Misconduct
March 12, 2026
TRENTON, New Jersey, March 12 -- New Jersey Attorney General Jennifer Davenport issued the following news release on March 11, 2026:

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AG Davenport, Bureau of Securities Announce Consent Order With NJ Broker-Dealer That Failed to Maintain Programs to Prevent Money Laundering and Other Misconduct

Firm Violated Securities Laws By Opening Hundreds of Accounts for Customers in Hong Kong and People's Republic of China Without Proper Proof of Identificat . . .

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