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Laptop Left In Airport Restroom

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September 8, 2015

The employee who spaced out on the laptop worked for a financial services firm, and the laptop contained client information going back more than two decades. The firm was subsequently fined $225,000 by the financial industry’s self-regulating entity, FINRA (the Financial Industry Regulatory Authority). There is probably no way to insure such mistakes will never happen, but there things that companies can do to make sure that if they do the damage is minimized. FINRA’s “Letter of Acceptance Waiver & Consent” in this matter, as explained in a client alert from Briggs and Morgan, provides a four-point check list to that end.

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