Our experienced team views data breach response as a joint effort in partnership with the client where the client’s philosophy, brand and customer base are considered integral in reconciling compliance with the numerous, and often competing, laws and regulations. [...]
The SEC is Serious About Protecting a Customer’s Confidential Information
On April 7, 2011, for the first time, the Securities and Exchange Commission (SEC) announced fines assessed against three former executives of GunnAllen Financial, Inc. (GunnAllen), a broker-dealer based in Tampa. Without admitting or denying the SEC’s findings, the three former executives, including a former president, former national sales manager, and former chief compliance officer, … Continue reading