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FINRA recently filed a Complaint against a Chief Executive Officer and Chief Compliance Officer of a registered broker-dealer alleging, among other things, that the individual caused the broker-dealer to have wide-ranging violations of the SEC’s Identity Theft Red Flags Rule, Regulation S-ID. (Read here) This is believed to be the first case FINRA has ever brought against an individual in the Reg. S-ID space, although the SEC previously brought a similar action against Voya Financial Advisors, Inc. (Read here) The recent Complaint comes on the heels of a settlement in December 2020 by the CEO/CCO’s broker-dealer, in which FINRA: (1) found that the firm violated Reg. S-ID and FINRA Rule 2010 by failing to develop and implement an appropriate written Identify Theft Program, (2) fined the firm $65,000, and (3) required the firm to notify potential impacted customers that their personal identifying information may have be
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//]]>// >By John P. Mello Jr.
Apr 7, 2021 5:00 AM PT
Businesses fearful their workers may be targeted by fraudsters will want to take a look at the free Tax Scam Awareness Kit offered by Proofpoint, a data protection company in Sunnyvale, Calif.
The kit, for both Windows and macOS, includes materials for an employee education campaign about tax fraud, three educational videos, an infographic, answers to frequently asked questions about tax scams, and a tax scam flyer.
The kit is designed to be used over a two-week period to educate employees about tax fraud. During the first week, employees are encouraged to visit an IRS website that focuses on tax scams aimed at consumers and to copy and distribute at the office, as well as at home, the Attack Spotlight flyer included with the kit.
more important, let s be careful with the information we casually hand out. i m sitting at a fast food restaurant and we give you the 10% off. somebody getting paid minimum wage, is it going into a computer system? we need to be more careful. on our personal computers, there is virus protection. a lot of our personal banking information, passwords you have the option of saving when you log into your bank account. what is the big deal? i m giving out my e-mail address. that s the keys to the kingdom. that s how you change a password. feeds right back into your own computer at home. how protected is that? virus softwares are good, but they are not going to compete with a russian mobster who has billions at stake to get into your identity theft world. if identify theft happens, you re going to be protected because the credit card company will reimburse you.
and now you can have the most comprehensive identify-theft protection available today lifelock ultimate. for protection you just can t provide yourself, get lifelock ultimate. i didn t know how serious identity theft was until i lost my credit and eventually i lost my home. [ male announcer ] lifelock is on the job 24/7. when they detect a threat to your identity within their network, they ll alert you by phone, text, or e-mail. that s protection from the industry leader lifelock. identity theft was a huge, huge problem for me, and it s gone away because of lifelock. [ male announcer ] while no one can stop all identify theft, if criminals do steal your identity, lifelock will hire experts to help fix it with our $1 million service guarantee. you have so much to protect and nothing to lose when you get two full months of identity-theft protection risk-free. that s right 60 days risk-free. use promo code gethelp.
they ll alert you by phone, text, or e-mail. that s protection from the industry leader lifelock. identity theft was a huge, huge problem for me, and it s gone away because of lifelock. [ male announcer ] while no one can stop all identify theft, if criminals do steal your identity, lifelock will hire experts to help fix it with our $1 million service guarantee. you have so much to protect and nothing to lose when you get two full months of identity-theft protection risk-free. that s right 60 days risk-free. use promo code gethelp. if you re not completely satisfied, you won t pay a cent. order now and also get this shredder to keep your documents out of the wrong hands a $29 value free.