A.G. Edwards and Sons Inc. OFAC Settlement: $122.4K

Last updated: July 20, 2026

A.G. Edwards and Sons Inc. settled allegations of violations of the Narcotics Trafficking Sanctions Regulations, remitting $122,358.35. OFAC alleged that A.G. Edwards acted without an OFAC license by failing to block investment accounts and processing transactions on accounts owned by Specially Designated Narcotics Traffickers ("SDNTs") between March and May of 2003. A.G. Edwards voluntarily disclosed this matter to OFAC.

Penalty Amount

$122,358.35

Enforcement Date

July 31, 2008

Rank in Top Penalties

#229

Case Details

Type:: Entity
Name:: A.G. Edwards and Sons Inc.
Country:: 🇺🇸 United States
Industry:: Securities
Address:: St. Louis, MO 63103
Penalty amount:: $122,358.35
Egregious case:: Unknown
Voluntary self disclosure:: Yes
Case:: Settlement
Violation period:: March 2003 to May 2003
Program:: Narcotics Trafficking Sanctions Regulations
Enforcement date:: July 31, 2008

Official Source Documents

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Archived on June 13, 2026

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