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Dec 22, 2016
Wells Fargo, LPL Financial Among 12 Firms Fined $14.4 Million for Cybersecurity, Data Protection Failures
Read More
Jun 2, 2016
E*Trade Securities Censured, Fined $900k for Trade Review & Supervisory Failures, Failure to Ensure Protection of Confidential Info
Read More
Apr 21, 2016
Ryan Logan Fined & Suspended for Improperly Changing Client Contact Information, Causing Inaccurate Database
Read More
Oct 14, 2015
FINRA Files Complaint Against John Joseph Arnold, Alleging His False Statements Allowed Imposter to Steal $127,200
Read More
Apr 7, 2014
Steven Robert Tomlinson Fined & Suspended for Downloading Confidential Customer Information
Read More
