Terence M. Grugan
Professional Bio
grugant@ballardspahr.com | 215.864.8320 | view full bio
Terence’s practice focuses on representing clients involved in criminal, regulatory, and administrative investigations and litigation, and in civil litigation matters involving the federal securities laws and other allegations of fraudulent business practices. He represents financial institution clients in matters implicating their practices under the BSA and related AML laws, including compliance program advice, internal investigations, regulatory examinations, and related civil litigation.
SEC Sanctions Broker-Dealer, Clearing Firm and Chief Compliance Officer for AML Violations
Money Laundering Watch ·
SEC Sanctions Broker-Dealer, Clearing Firm and Chief Compliance Officer for AML Violations
Banking, Finance and Securities ·
FinCEN Extends $3 Million Carrot to Card Club and Casino: Reduce Assessed Civil Penalty by Completing Compliance Undertakings
Banking, Finance and Securities ·