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Huntleigh Securities Corporation

Huntleigh Securities Corporation (CRD #7456, St. Louis, Missouri) received a censure and fine of $15,000. According to the findings, the firm failed to enforce its written supervisory procedures, in that the firm failed to report suspicious transactions to the Internal Revenue Service (IRS) or other federal law enforcement authorities in the account of a public customer that was just below the $10,000 government reporting threshold. The firm accepted the fine and censure but did not admit or deny the accusations. (NASD Case #C04040023)

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