LISTSERV - RECMGMT-L Archives - LISTSERV.IGGURU.US

RECMGMT-L Archives

Records Management

RECMGMT-L@LISTSERV.IGGURU.US

	LISTSERV Archives
	RECMGMT-L Home

	Log In
	Register

	Subscribe or Unsubscribe

	Search Archives

Options:	Use Forum View Use Monospaced Font Show Text Part by Default Show All Mail Headers
Message:	[<< First] [< Prev] [Next >] [Last >>]
Topic:	[<< First] [< Prev] [Next >] [Last >>]
Author:	[<< First] [< Prev] [Next >] [Last >>]

Subject:	RAINRDrop - FINRA Fines Piper Jaffray $700,000 for Email Retention Violations
From:	Bruce White <[log in to unmask]>
Reply To:	Records Management Program <[log in to unmask]>
Date:	Fri, 28 May 2010 09:14:50 -0700
Content-Type:	text/plain
Parts/Attachments:	text/plain (24 lines)

<snip>
The Financial Industry Regulatory Authority (FINRA) announced today
that it has fined Piper Jaffray & Co. $700,000 for violations related
to its failure to retain approximately 4.3 million emails from
November 2002 through December 2008. Piper Jaffray also failed to
inform FINRA of its email retention and retrieval issues, which
impacted the firm's ability to comply completely with email extraction
requests from FINRA. It also may have affected the firm's ability to
respond fully to email requests from other regulators or from parties
in civil litigation or arbitrations.
<snip>

http://www.finra.org/Newsroom/NewsReleases/2010/P121506

-- 
Bruce White, CRM, PMP
Orange County, CA
e-mail: [log in to unmask]

List archives at http://lists.ufl.edu/archives/recmgmt-l.html
Contact [log in to unmask] for assistance
To unsubscribe from this list, click the below link. If not already present, place UNSUBSCRIBE RECMGMT-L or UNSUB RECMGMT-L in the body of the message.
mailto:[log in to unmask]

ATOM RSS1 RSS2

LISTSERV.IGGURU.US