Securites Fraud Attorneys SHEPHERD, SMITH & EDWARDS, LLP
stock fraud online consultations
Skip to main content
about Our Stock Attorneys contact stock lawyers securities arbitration questions Securities fraud news Broker Misconduct Resources and links about investment protection en Espanol
Free Consultation

or call

Daewoo Securities (America) Inc.

Daewoo Securities (America) Inc. (CRD #30679, New York, New York) received a censure and fine of $10,000. According to the findings, the firm failed to develop and implement an AML program reasonably designed to achieve and monitor compliance with the requirements of the Bank Secrecy Act and the implementing regulations promulgated thereunder by the Department of the Treasury. The firm accepted the fine and censure but did not admit or deny the accusations. (NASD Case #C10050043)

Did Daewoo Securities (America) Inc. manage your investments?



If you would like one of our specialists to provide a free consultation, please let us know how to reach you:

 Your Name

 Your Phone

 Your Question / Situation