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Online broker eToro has appointed Jelena Dubackic as Financial Crime Operations Manager. Dubackic, based in Cyprus, joins from Afterprime and brings experience from Blackwell Global and TradeCore.
Stash Capital LLC has agreed to pay a $450,000 fine and accept a censure to settle charges brought by FINRA. The regulator found that, between January 2019 and June 2023, the firm failed to maintain adequate customer identification, anti-money laundering, and identity theft prevention programs.
Alpaca Securities LLC has agreed to a $300,000 fine and censure from FINRA to settle findings related to extensive trade reporting violations and supervisory failures. The issues spanned multiple years and involved millions of transactions reported to FINRA facilities.
The German Federal Financial Supervisory Authority (BaFin) has imposed three fines totaling €140,000 on DLT Securities GmbH for violations of the Money Laundering Act. The sanctions relate to inadequate internal safeguards, deficient monitoring, and a lack of updates to the firm’s risk management and due diligence processes.
