$10,000 fine continues FINRA’s off-channel communications crackdown
FINRA has fined and suspended an ex-B. Riley broker for sending business-related communications via an unapproved personal email account, continuing its enforcement streak against recordkeeping violations.
Stored Communications Act
Where is the line? That’s what enforcement agencies and the US government have to consider each time they make a request to access an individual's private electronic communication when building evidence in a case.
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