Ameriprise Financial Services and the Financial Industry Regulatory Authority (FINRA) have settled an ongoing case in which Ameriprise was charged with failing to act on red flags regarding the theft of “more than $370,000 from five customer brokerage accounts by one of its registered representatives,” according to FINRA officials. The settlement involves a fine of… Read More >>
U.S. Fights Back Against Iranian Hackers
The threat of cyberattacks was prominent again in the news last week as the Department of Justice via the U.S. Attorney’s Office for the Southern District of New York unsealed grand jury indictments against seven hackers based in Iran charged with running coordinated cyber-attacks on U.S. financial services firms and securities exchanges. In fact, Justice… Read More >>
