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Securities and Exchange Commission (SEC) › Personal Information › Vendors

McCarter & English, LLP

Don’t Get Caught in Scattered Spider’s Web

McCarter & English, LLP on

The cybercrime group known as Scattered Spider is at it again, according to Google’s Threat Intelligence Group. This criminal group is known to focus its cyber attacks on one sector at a time. Last spring, it was the retail...more

Mintz - Employment Viewpoints

FINRA Fines Broker-Dealer for Sharing Customer Data with Third-Party Vendor

Mintz - Employment Viewpoints on

Kestra Investment Services LLC (“Kestra”) was fined $125,000 by FINRA for sharing personal customer data with a third-party vendor. Kestra had engaged the vendor to assist newly hired brokers with the transfer of customer...more

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