TITLE

Crowell Weedon First Firm to Be Hit By SEC For USA Patriot Act Violations

AUTHOR(S)
Hume, Lynn
PUB. DATE
May 2006
SOURCE
Bond Buyer;5/23/2006, Vol. 356 Issue 32387, p5
SOURCE TYPE
Trade Publication
DOC. TYPE
Article
ABSTRACT
The article provides updates on the violation of Crowell, Weedon & Co. of the USA Patriot Act. The firm, a Los Angeles-based broker-dealer involved in municipal bonds and other securities market, has failed to properly document its customer identification program for about 2,900 new customer accounts. The Securities and Exchange Commission had sanctioned Crowell and ordered the firm to cease and refrain from committing any securities law violations.
ACCESSION #
20969875

 

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