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Exception Tracking Spreadsheet (TicklerTrax™)
Downloaded by more than 1,000 bankers. Free Excel spreadsheet to help you track missing and expiring documents for credit and loans, deposits, trusts, and more. Visualize your exception data in interactive charts and graphs. Provided by bank technology vendor, AccuSystems. Download TicklerTrax for free.

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Miami brokerage firm pays $1M CMP for AML violations

The SEC has announced that E.S. Financial Services (which is now named Brickell Global Markets), a Miami-based brokerage firm, has consented to an order to pay a $1 million penalty to settle charges that it violated anti-money laundering rules by allowing foreign entities to buy and sell securities without verifying the identities of the non-U.S. citizens who beneficially owned them. For additional information, see our Penalties Page entry.

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