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Recent Posts in Data Security Category

Wells Fargo, LPL Financial Among 12 Firms Fined $14.4 Million for Cybersecurity, Data Protection Failures

FINRA fined 12 member firms a total of $14.4 million for what the regulator deemed "significant deficiencies" related to preservation and protection of electronic brokerage and customer ...
Continue reading "Wells Fargo, LPL Financial Among 12 Firms Fined $14.4 Million for Cybersecurity, Data Protection Failures" »

E*Trade Securities Censured, Fined $900k for Trade Review & Supervisory Failures, Failure to Ensure Protection of Confidential Info

FINRA fined E*Trade Securities, LLC $900,000 and censured the firm for multiple violations related to its assessment and review practices concerning customer orders, further finding that the firm ...
Continue reading "E*Trade Securities Censured, Fined $900k for Trade Review & Supervisory Failures, Failure to Ensure Protection of Confidential Info" »

Ryan Logan Fined & Suspended for Improperly Changing Client Contact Information, Causing Inaccurate Database

FINRA suspended former Northwestern Mutual Investment Services, LLC (Newport Beach, California) broker Ryan Alexander Logan and fined him $5,000 for changing customer's personal data and contact ...
Continue reading "Ryan Logan Fined & Suspended for Improperly Changing Client Contact Information, Causing Inaccurate Database" »

FINRA Files Complaint Against John Joseph Arnold, Alleging His False Statements Allowed Imposter to Steal $127,200

FINRA filed a disciplinary complaint against broker John Joseph Arnold, formerly of Merrill Lynch's Newport Beach, California branch, alleging that he failed to confirm the identity of a customer ...
Continue reading "FINRA Files Complaint Against John Joseph Arnold, Alleging His False Statements Allowed Imposter to Steal $127,200" »

Steven Robert Tomlinson Fined & Suspended for Downloading Confidential Customer Information

FINRA suspended Steven Robert Tomlinson and fined him $10,000 for allegedly downloading confidential, personal and non-public information belonging to customers of his prior employing firm. Tomlinson, ...
Continue reading "Steven Robert Tomlinson Fined & Suspended for Downloading Confidential Customer Information" »
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The Law Offices of Jonathan W. Evans & Associates - California Securities Fraud Attorney
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Phone: (800) 699-1881 | Local Phone: (818) 760-9880.
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