FINRA Fines Former Interactive Brokers AML Compliance Officer

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Andrew J. Feist, a former AML Compliance Officer at Interactive Brokers, agreed to a USD 25,000 fine and a two-month suspension as part of an agreement with the Financial Industry Regulatory Authority (FINRA). From January 2013 to August 2018, he failed to create and implement a reasonably designed anti-money laundering (AML) program in the company, violating several FINRA rules.

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