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Violation Tracker Individual Record

Company: National Securities Corporation
Penalty: $3,000,000
Year: 2021
Date: April 14, 2021
Offense Group: consumer-protection-related offenses
Primary Offense: privacy violation
Violation Description: The Superintendent of Financial Services announced that National Securities Corporation would pay a $3 million penalty to New York State for violations of DFS's Cybersecurity Regulation that caused the exposure of a substantial amount of sensitive, non-public, personal data belonging to its customers, including thousands of New York consumers.
Level of Government: state
Action Type: agency action
Agency: New York Department of Financial Services
Civil or Criminal Case: civil
Facility State: New York
Source of Data: (click here)
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Current parent company note: Parent-subsidiary relationship is current as of the most recent revision listed in the Update Log.