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Daily Dashboard | FINRA fines Securities America $125K over data disclosures claims Related reading: Notes from the IAPP, April 9, 2021




AdvisorHub reports the Financial Industry Regulatory Authority fined Securities America $125,000 for improper disclosure of personal data without consent. The financial advising firm was found to have allegedly supplied a third party with personal data from 12 partnering brokers without permission from the brokers or individuals involved. The Nebraska-based firm, which was censured in addition to the fine, did not confirm or deny FINRA's accusations while accepting the penalty.
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