COR Clearing, formerly Legent Clearing, has been censured and fined $1 million by Finra for a variety of compliance failures involving lapses in anti-money-laundering procedures, financial reporting and supervisory obligations.
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COR Clearing, formerly Legent Clearing, has been censured and fined $1 million by Finra for a variety of compliance failures involving lapses in anti-money-laundering procedures, financial reporting and supervisory obligations.