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Broker and compliance officer of broker-dealer firm personally fined by SEC for customer privacy violations

Proskauer Rose LLP
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USA
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April 12 2011

On April 7, 2011, the SEC announced that it had imposed fines of $20,000 each against the former president of a broker-dealer and a former broker for their actions in transferring customer information to a new firm as the defunct firm wound down

Texas raises stakes on health care privacy

Proskauer Rose LLP
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USA
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August 30 2011

In May, Texas enacted a far-reaching new health information privacy law that will take effect on September 12, 2012

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