💰 Financial Record
paymentTransaction Details
Amount
USD
$1,000,000.0
Payer (From)
E*TRADE Securities and E*Trade Clearing LLC
Linked to TRA
Payee (To)
SEC
Linked to SEC
Transaction Date
July 01, 2008
Description
Settlement for failure to document Customer Identification Program (CIP)
Additional Details
Date string:
July 2008
Amount string:
1000000
Source document:
HOUSE_OVERSIGHT_024129.jpg
📄 Source Document
HOUSE_OVERSIGHT_024129.jpg
ESTATE Collection
Document Summary
This document is page 23 of a report by Protiviti, likely produced for the House Oversight Committee, detailing common deficiencies in Anti-Money Laundering (AML) compliance programs. It cites specific enforcement actions and financial penalties against E*TRADE (2008-2009) and Sigue Corporation (2008) for failures in suspicious activity monitoring and reporting. The text outlines systemic violations such as failure to file SARs, lack of independent testing, and inadequate training, serving as a reference for regulatory expectations.
Discussion 0
No comments yet
Be the first to share your thoughts on this epstein financial record