Ceros Financial Services, a brokerage platform and consultative partner to an investment management firm, was censured and fined by the Financial Industry Regulatory Authority (FINRA) on January 31 for what the regulator said was a failure to reasonably supervise and retain the use of personal email for business-related communications.
Ceros Financial fined for lacking supervision over personal email for business use
FINRA ruling notable due to inclusion of Identity Theft Red Flags Rule.