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Sutherland defends broker-dealer in FINRA data privacy investigation.

DescriptionSutherland represented a broker-dealer in a FINRA investigation and settlement involving personal information of tens of thousands of customers where the broker-dealer allegedly violated Regulation S-P and FINRA supervisory requirements.

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click to watch Videocast: DOL Fiduciary Rule Litigation Impacts
Videocast: DOL Fiduciary Rule Litigation Impacts
Atlanta, GA
Washington, DC
© 2017 Sutherland Asbill & Brennan LLP / Sutherland (Europe) LLP
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Experience - Sutherland defends broker-dealer in FINRA data privacy investigation.
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