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Violation Tracker Individual Record

Company: E-Trade Securities LLC and E-Trade Clearing LLC
Current Parent Company: Morgan Stanley
Parent at the Time of the Penalty Announcement:  subscribe to see this data field
Recap of Ownership Changes:  subscribe to see this data field
Penalty: $1,000,000
Year: 2009
Date: January 2, 2009
Offense Group: financial offenses
Primary Offense: anti-money-laundering deficiencies
Violation Description: The Financial Industry Regulatory Authority fined E-Trade $1 million for failing to implement reasonable anti-money laundering (AML) compliance programs.
Level of Government: federal
Action Type: agency action
Agency: Financial Industry Regulatory Authority
Civil or Criminal Case: civil
HQ Country of Current Parent: USA
HQ State of Current Parent: New York
Ownership Structure of Current Parent: publicly traded
Major Industry of Current Parent: financial services
Specific Industry of Current Parent: financial services
Source of Data: (click here)
Archived Source: (click here)
Notes: FINRA is a securities industry self-regulatory body authorized by the federal government.
Current parent company note: Parent-subsidiary relationship is current as of the most recent revision listed in the Update Log.