SEC Sanctions Broker-Dealer and CCO for Failing to Preserve and Produce the Personal Email and Personal Computer of Independent Contractor
Mondaq Business Briefing › United States Law Articles in English (2010)
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SEC Sanctions Broker-Dealer and CCO for Failing to Preserve and Produce the Personal Email and Personal Computer of Independent Contractor
Originally published August 12, 2010
Keywords: SEC, broker-dealer, production requests, securities laws, electronic communications, e-discovery, CCO, broker-dealer, personal email, personal computer, vFinance In an opinion that may give pause to securities broker-dealers and others subject to production requests from the Securities and Exchange Commission ("SEC" or "Commission"), the SEC in In the Matter of vFinance Investments, Inc.,1 censured, fined and issued cease and desist orde...See the full content of this document
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