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The Financial Industry Regulatory Authority Inc. has barred Donna Jean Flemming, the former president and chief executive officer of Spencer Edwards Inc. for failing to implement an adequate anti-money laundering program and for falsifying documents.

The firm's membership in Finra was cancelled on Feb. 1. In addition to her role as head of the firm, Ms. Flemming served as chief compliance officer and its anti-money laundering compliance officer from 2012 until mid-2017. The firm was based in Centennial, Colo.

According to a Finra letter of acceptance, waiver and cons...

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