Haymond AML — Violations
Total: 33 violations | S&S: 10 | Penalties: $7K
| Date | Section | Title | S&S | Negligence | Penalty |
|---|---|---|---|---|---|
| 12/13/2011 | 71.403 | Non-S&S | ModNegligence | $100 | |
| 08/16/2011 | 77.1605(d) | Non-S&S | ModNegligence | $100 | |
| 08/16/2011 | 77.410(c) | Non-S&S | ModNegligence | $100 | |
| 08/16/2011 | 77.404(a) | Non-S&S | ModNegligence | $100 | |
| 08/16/2011 | 77.410(c) | Non-S&S | ModNegligence | $100 | |
| 08/16/2011 | 77.1605(d) | Non-S&S | ModNegligence | $100 | |
| 08/16/2011 | 77.1605(b) | Non-S&S | ModNegligence | $100 | |
| 08/09/2011 | 77.1606(c) | Non-S&S | ModNegligence | $100 | |
| 01/31/2011 | 77.1000 | Non-S&S | ModNegligence | $100 | |
| 01/31/2011 | 77.1605(d) | Non-S&S | ModNegligence | $100 | |
| 01/05/2011 | 77.1605(k) | Non-S&S | ModNegligence | $100 | |
| 09/20/2010 | 77.1605(k) | S&S | ModNegligence | $100 | |
| 09/10/2010 | 77.1605(k) | S&S | ModNegligence | $100 | |
| 09/02/2010 | 77.1606(c) | Non-S&S | ModNegligence | $100 | |
| 09/02/2010 | 77.1110 | Non-S&S | ModNegligence | $100 | |
| 09/01/2010 | 77.1605(k) | S&S | ModNegligence | $100 | |
| 09/01/2010 | 77.1713 | Non-S&S | ModNegligence | $100 | |
| 09/01/2010 | 77.1713 | Non-S&S | ModNegligence | $100 | |
| 09/01/2010 | 77.1000 | S&S | ModNegligence | $100 | |
| 09/01/2010 | 77.1000 | S&S | ModNegligence | $100 | |
| 09/01/2010 | 77.205(a) | S&S | ModNegligence | $207 | |
| 09/01/2010 | 77.205(a) | S&S | ModNegligence | $162 | |
| 09/01/2010 | 77.404(a) | Non-S&S | ModNegligence | $100 | |
| 09/01/2010 | 77.404(a) | Non-S&S | ModNegligence | $100 | |
| 09/01/2010 | 77.1605(b) | Non-S&S | ModNegligence | $100 | |
| 09/01/2010 | 77.1605(b) | Non-S&S | ModNegligence | $100 | |
| 09/01/2010 | 77.1200(k) | Non-S&S | ModNegligence | $100 | |
| 08/12/2010 | Non-S&S | Reckless | $1,000 | ||
| 08/12/2010 | Non-S&S | Reckless | $1,000 | ||
| 08/12/2010 | 48.26(b) | S&S | HighNegligence | $540 | |
| 08/10/2010 | 77.1000 | S&S | HighNegligence | $540 | |
| 08/10/2010 | 48.26(b) | S&S | HighNegligence | $601 | |
| 08/10/2010 | 48.23(f) | Non-S&S | HighNegligence | $108 |