From January 2018 to at least January 2024, Mundial Financial Group allowed its indirect owner, who was not registered with FINRA in any capacity, to engage in securities activities requiring registration in violation of FINRA Rules 1210 and 2010 and NASD Rules 1021 and 1031.2 From September 2019 to the present, the firm failed to develop and implement an anti-money laundering (AML) compliance program reasonably designed to achieve and monitor the firm’s compliance with the Bank Secrecy Act and its implementing regulations in violation of FINRA Rules 3310(a), 3310(b), 3310(f), and 2010.