Tag archives for 039
Lessons Learned From The SEC's $1 Million Data Privacy Fine
In June, a bulge bracket bank agreed to pay a $1 million fine to settle a Securities and Exchange Commissions (SEC) charge for failing to protect client ... Source: Bank Fines
Wells Fargo Executive Linked To Scam Gets $124.6 Million Payday
The CFPB slapped the bank with a $100 million fine (in addition to fines ... Despite being hit with huge fines, Wells Fargo is not admitting misconduct ... Source: Bank Fines
Advisers' arbitration rights reaffirmed in comp spat with Credit Suisse
Weeks after FINRA put firms on notice that brokers always have the right to take disputes to the regulator's arbitration forums, Credit Suisse has ... Source: FINRA