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FAILED TO FOLLOW BANK'S CUSTOMER IDENTIFICATION POLICY WHEN OPENING BANK ACCOUNTS FOR RESIDENTS OF VENEZUELA
Broker Comment
I became sick. I had to leave due to level of stress. I was never licensed with them. I remember receiving notice of investigation the company and then receiving another notification stating all was clear so I did not pay much mind to it.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.
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Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.