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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?

 

 

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