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The Leaders Group, Inc.

The Leaders Group, Inc. (CRD #37157, Littleton, Colorado) received a censure and fine of $10,000. According to the findings, the firm failed to develop and implement a written AML program and internal controls reasonably designed to achieve and monitor compliance with the requirement of the Bank Secrecy Act, 31, U.S.C 5311, et seq., and the regulations promulgated thereunder. The firm accepted the fine and censure but did not admit or deny the accusations. (NASD Case #C3A050014)

Did The Leaders Group, Inc. manage your investments?

 

 

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