{"id":135764,"date":"2024-08-18T19:00:54","date_gmt":"2024-08-18T16:00:54","guid":{"rendered":"https:\/\/cryptodnes.bg\/en\/?p=135764"},"modified":"2024-08-18T03:17:54","modified_gmt":"2024-08-18T00:17:54","slug":"former-jpmorgan-employee-fined-and-suspended-by-finra-for-data-misuse","status":"publish","type":"post","link":"https:\/\/cryptodnes.bg\/en\/former-jpmorgan-employee-fined-and-suspended-by-finra-for-data-misuse\/","title":{"rendered":"Former JPMorgan Employee Fined and Suspended by FINRA for Data Misuse"},"content":{"rendered":"<p>Dale Self has been <strong><a href=\"https:\/\/www.finra.org\/sites\/default\/files\/fda_documents\/2023077774901%20Dale%20Self%20CRD%202782162%20AWC%20lp.pdf\" target=\"_blank\" rel=\"nofollow\">fined<\/a> <\/strong>$5,000 and suspended from interacting with FINRA members for 15 business days. The penalties stem from accusations that Self improperly collected personal data from over 200 J.P. Morgan Securities clients without their or his employer\u2019s consent.<\/p>\n<p>Self, who worked at JPMorgan Chase\u2019s investment management division for more than ten years, is said to have taken notes containing sensitive customer information\u2014including dates of birth, Social Security numbers, and financial details\u2014into a personal notebook.<\/p>\n<p>FINRA asserts that Self intended to use this information for a future job at a competing firm, preparing account forms and customer software in advance of transferring these clients\u2019 accounts.<\/p>\n<style>\n    .dark-mode .read-more {background-color: #343a40 !important;}\n<\/style>\n<div class=\"read-more pb-3 pt-3 pt-md-2 px-3 my-4 border bg-light\">\n    <h5 class=\"text-uppercase border-bottom mb-3 pb-1 d-none d-md-block\">READ MORE:<\/h5>\n    <a class=\"article row\" href=\"https:\/\/cryptodnes.bg\/en\/german-federal-authority-issues-a-warning-to-crypto-users\/\" title=\"German Federal Authority Issues a Warning to Crypto Users\">\n        <div class=\"contentRight col-4\">\n            <span class=\"imgContainer mt-0\">\n                <img decoding=\"async\" class=\"image img-defer\" src=\"https:\/\/cryptodnes.bg\/en\/wp-content\/uploads\/sites\/2\/2022\/07\/germany-with-new-crypto-rules-1-240x170.jpg\">\n            <\/span>\n        <\/div>\n        <div class=\"contentLeft col-8\">\n            <h4 class=\"title mb-0\">German Federal Authority Issues a Warning to Crypto Users<\/h4>           \n            \n        <\/div>        \n    <\/a>\n<\/div>\n<p>Self has since returned the data to J.P. Morgan Securities at their request and has settled the case with FINRA without admitting to or denying the charges.<\/p>\n","protected":false},"excerpt":{"rendered":"<p>A former JPMorgan employee is facing disciplinary action from the Financial Industry Regulatory Authority (FINRA) for alleged breaches of regulations.<\/p>\n","protected":false},"author":3,"featured_media":30562,"comment_status":"open","ping_status":"open","sticky":false,"template":"","format":"standard","meta":{"_acf_changed":false,"_lmt_disableupdate":"","_lmt_disable":"","footnotes":""},"categories":[22],"tags":[],"class_list":["post-135764","post","type-post","status-publish","format-standard","has-post-thumbnail","hentry","category-others"],"acf":[],"yoast_head":"<!-- This site is optimized with the Yoast SEO plugin v24.8.1 - https:\/\/yoast.com\/wordpress\/plugins\/seo\/ -->\n<title>Former JPMorgan Employee Fined and Suspended by FINRA for Data Misuse<\/title>\n<meta name=\"description\" content=\"A former 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