- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
LPL Financial, believed to be the largest independent broker-dealer in the United States, announced Brent Simonich has joined the firm as executive vice president, chief accounting officer and treasurer.
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Law enforcement officials stumbled on TD Bank’s role in money laundering while investigating a Mexican drug cartel. They found that the bank’s corporate culture considered compliance, particularly BSA/AML compliance, a low priority. As they dug deeper, authorities discovered that multiple money laundering schemes had infiltrated the bank’s network.
Meta disclosed in a public filing that an investigation by the Consumer Financial Protection Bureau related to financial product advertising on platforms Instagram and WhatsApp may lead to a lawsuit.
Phillips & Cohen Associates, deceased account care management and technology solutions provider, announced the appointment of Chris Lagow as its new global general counsel.
