The SEC charged investment adviser R.T. Jones with willfully violating the Safeguards Rule by failing to adopt written policies and procedures designed to protect customer records and information. The Safeguards Rule requires...more
10/8/2015
/ Cease and Desist Orders ,
Civil Monetary Penalty ,
Credit Monitoring ,
Cyber Attacks ,
Cybersecurity ,
Enforcement Actions ,
Hackers ,
Investment Adviser ,
Personally Identifiable Information ,
Safeguards Rule ,
Securities and Exchange Commission (SEC) ,
Settlement