- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
Stephanie Brooker, director of the Enforcement Division of the U.S. Department of Treasury’s Financial Crimes Enforcement Network (FinCEN), has joined law firm Gibson Dunn its Washington, D.C. office as a partner. At Gibson Dunn, Brooker will focus on financial services related criminal and regulatory enforcement, compliance, and litigation.
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The Financial Industry Regulatory Authority fined a Bank of America subsidiary $90,080 for filing untimely or inaccurate notifications related to security distributions and failing to adopt an adequate supervisory system.
Merrill Lynch was assessed an $825,000 penalty by the Financial Industry Regulatory Authority for alleged supervision failures regarding the execution of marketable equity orders entered into its electronic order systems.
The Financial Industry Regulatory Authority fined three firms—M1 Finance, Mizuho Securities, and Oppenheimer—between $250,000 and $500,000 across separate actions for failing to properly implement, monitor, and supervise internal systems that led to compliance failures.
