Compliance » Laptop Left In Airport Restroom

Laptop Left In Airport Restroom

September 8, 2015

The employee who spaced out on the laptop worked for a financial services firm, and the laptop contained client information going back more than two decades. The firm was subsequently fined $225,000 by the financial industry’s self-regulating entity, FINRA (the Financial Industry Regulatory Authority). There is probably no way to insure such mistakes will never happen, but there things that companies can do to make sure that if they do the damage is minimized. FINRA’s “Letter of Acceptance Waiver & Consent” in this matter, as explained in a client alert from Briggs and Morgan, provides a four-point check list to that end.

Read full article at:

Sign up for our free Daily Updates newsletter for the latest news and business legal developments.

Daily Updates

Sign up for our free daily newsletter for the latest news and business legal developments.

Scroll to Top