[GRADE A1 — NYDFS Consent Order (regulatory enforcement action)]
The consent order attributes the following actions to COVERAGE TEAM MEMBER-1:
- The consent order states CTM-1 "was aware of the ARRC's conditions on the relationship"
- July 2015: The consent order states CTM-1 escalated Epstein's request for increased trading limits to AML OFFICER-2
- January 2016: The consent order states CTM-1 escalated Beller's request to open the Gratitude America account to AML OFFICER-2