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: Securities Law Prof Blog

LPL Settles SEC Charges of Failing to Safeguard Customers' Personal Information

By Securites Lawprof

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The SEC instituted an enforcement action against LPL Financial Corporation for failing to adopt policies and procedures to safeguard their customers' personal information, leaving at least 10,000 customers vulnerable to identity theft following a series of hacking incidents involving LPL's...

Full post as published by Securities Law Prof Blog on September 11, 2008 (boomark / email).

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