Tagged with "client data breach"

FINRA Suspends Multiple Advisors for Taking Client Information

Posted on November 30th, 2020 at 3:07 PM
FINRA Suspends Multiple Advisors for Taking Client Information

Daniel Hee, a former advisor at UBS Wealth Management USA, and Joseph D. Olheiser, a former Morgan Stanley advisor, have each been ordered by FINRA to pay a $5,000 fine and serve a ten-day suspension from association with any FINRA member firm in any capacity.

Read More »

TESTIMONIALS

Previous
Next

I cannot thank you enough for your efforts. You have proven to be a valuable resource

Jim T.

LATEST NEWS AND ARTICLES

April 23, 2024
Surge Predicted in Regulation Best Interest Cases

According to a recent analysis, Reg BI-related actions quickly have ascended to the top five issues for FINRA, with fines totaling $6 million in 2023.

April 22, 2024
FINRA Fines Independent Broker-Dealers Over Cybersecurity Lapses

The Financial Industry Regulatory Authority (FINRA) has imposed fines and censured independent broker-dealers Osaic Wealth and Securities America for cybersecurity deficiencies that led to hackers accessing the private information of more than 32,000 customers.

April 19, 2024
WealthFeed Raises Funds for AI-Driven Lead Generation Tool

WealthFeed leverages proprietary AI technology to collect nine real-time financial data points, including business sales, capital raises, inheritances, and job changes.