DataBreaches.Net

Menu
  • About
  • Breach Notification Laws
  • Privacy Policy
  • Transparency Report
Menu

FINRA fines Raymond James $500,000

Posted on March 17, 2016 by Dissent

Linn Freedman of Robinson & Cole writes:

Financial services firm Raymond James Financial Services Inc. (Raymond James) has agreed to settle an investigation by the Financial Industry Regulatory Authority (FINRA) for $500,000. The investigation stems from allegations that Raymond James requested that new financial advisers disclose and bring confidential customer information to Raymond James when joining the firm from other brokerage firms, without getting the customers’ permission or providing an opt-out from the disclosure to the new firm.

Read more on JDSupra.

Related posts:

  • FINRA Fines D.A. Davidson & Co. $375,000 for Failure to Protect Confidential Customer Information
  • FINRA Imposes Fines Totaling $600,000 Against Lincoln Financial Securities and Lincoln Financial Advisors for Failure to Protect Confidential Customer Information
  • FINRA Fines Centaurus Financial $175,000 for Failure to Protect Confidential Customer Information
  • Financial Industry Regulatory Authority Report on Cybersecurity Practices
Category: Financial SectorInsider

Post navigation

← More details emerge on DOJ probe of Tiversa, company involved in FTC v. LabMD
NY: Centers Plan for Healthy Living Notifies Members of Stolen Laptop →

Now more than ever

"Stand with Ukraine:" above raised hands. The illustration is in blue and yellow, the colors of Ukraine's flag.

Search

Browse by Categories

Recent Posts

  • Hacker helped kill FBI sources, witnesses in El Chapo case, according to watchdog report
  • Texas Centers for Infectious Disease Associates Notifies Individuals of Data Breach in 2024
  • Battlefords Union Hospitals notifies patients of employee snooping in their records
  • Alert: Scattered Spider has added North American airline and transportation organizations to their target list
  • Northern Light Health patients affected by security incident at Compumedics; 10 healthcare entities affected
  • Privacy commissioner reviewing reported Ontario Health atHome data breach
  • CMS warns Medicare providers of fraud scheme
  • Ex-student charged with wave of cyber attacks on Sydney uni
  • Detaining Hackers Before the Crime? Tamil Nadu’s Supreme Court Approves Preventive Custody for Cyber Offenders
  • Potential Cyberattack Scrambles Columbia University Computer Systems

No, You Can’t Buy a Post or an Interview

This site does not accept sponsored posts or link-back arrangements. Inquiries about either are ignored.

And despite what some trolls may try to claim: DataBreaches has never accepted even one dime to interview or report on anyone. Nor will DataBreaches ever pay anyone for data or to interview them.

Want to Get Our RSS Feed?

Grab it here:

https://databreaches.net/feed/

RSS Recent Posts on PogoWasRight.org

  • Hacker helped kill FBI sources, witnesses in El Chapo case, according to watchdog report
  • Germany Wants Apple, Google to Remove DeepSeek From Their App Stores
  • Supreme Court upholds Texas law requiring age verification on porn sites
  • Justices nix Medicaid ‘right’ to choose doctor, defunding Planned Parenthood in South Carolina
  • European Commission publishes its plan to enable more effective law enforcement access to data
  • Sacred Secrets: The Biblical Case for Privacy and Data Protection
  • Microsoft’s Departing Privacy Chief Calls for Regulator Outreach

Have a News Tip?

Email: Tips[at]DataBreaches.net

Signal: +1 516-776-7756

Contact Me

Email: info[at]databreaches.net

Mastodon: Infosec.Exchange/@PogoWasRight

Signal: +1 516-776-7756

DMCA Concern: dmca[at]databreaches.net
© 2009 – 2025 DataBreaches.net and DataBreaches LLC. All rights reserved.