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Securities Law Alert

FINRA Fines Firm $1.2 Million For Email Review Failures

SMBsLarge and small financial services firms are in danger of heavy compliance fines for email retention and review failure as the regulatory environment becomes more stringent. FINRA fined Metlife $1.2 million in December of 2009 for failing to review emails. A smaller firm was fined $350,000 for email retention failure.

This Securities Law Alert:

  • Analyzes the fines
  • Explains the regulations surrounding email archiving & eDiscovery

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