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FINRA Files Complaint Against Firm CEO/CCO for Causing Regulation S-ID Violations, In First-Ever FINRA Enforcement Case of its Kind | Bryan Cave Leighton Paisner

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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 h ....

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