SEC Charges OTC Link LLC With Failing to File Suspicious Activity Reports
August 13, 2024
August 13, 2024
WASHINGTON, Aug. 13 -- The Securities and Exchange Commission issued the following news release on Aug. 12, 2024:
The Securities and Exchange Commission today announced charges against OTC Link LLC, a New York-based broker-dealer, for failing to file numerous reports of suspicious financial transactions, known as Suspicious Activity Reports (SARs), for a period of more than three years. OTC Link agreed to pay $1.19 million to settle the charges.
To help detect potential . . .
The Securities and Exchange Commission today announced charges against OTC Link LLC, a New York-based broker-dealer, for failing to file numerous reports of suspicious financial transactions, known as Suspicious Activity Reports (SARs), for a period of more than three years. OTC Link agreed to pay $1.19 million to settle the charges.
To help detect potential . . .