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September 22, 2015

Posted  January 28, 2016

R.T. Jones Capital Equities Management, a St. Louis-based investment adviser, will pay a $75,000 penalty to settle charges that it failed to establish required cybersecurity policies and procedures reasonably designed to protect customer records and information, in advance of a breach that compromised the personally identifiable information of approximately 100,000 individuals, including thousands of the firm’s clients.  SEC

Tagged in: Cybersecurity and Data Breaches, Regulatory Violations, Securities Fraud,