Department of Financial Regulation

Attorney General Clark and Commissioner Gaffney Announce $595,000 Settlement with Morgan Stanley for Data Security Incidents

November 16, 2023

Contact: Victoria Hudson, Information Management Officer, 802-828-4872

Read more about Attorney General Clark and Commissioner Gaffney Announce $595,000 Settlement with Morgan Stanley for Data Security Incidents

Assurance of Voluntary Compliance Morgan Stanley Smith Barney LLC

Read more about Assurance of Voluntary Compliance Morgan Stanley Smith Barney LLC

Application of the Security Breach Notice Act to Breaches Involving Data Owners and Third-Party Vendors

Department of Financial Regulation Bulletin No. 5
Application of the Security Breach Notice Act to Breaches Involving Data Owners and Third-Party Vendors

Read more about Application of the Security Breach Notice Act to Breaches Involving Data Owners and Third-Party Vendors

DFR Joins NASAA Multi-State Settlement

November 7, 2023

Raymond James to pay more than $12M in restitution and penalties.

Read more about DFR Joins NASAA Multi-State Settlement

EPIX Notice Regarding Loss Runs, Coverage & Credentialing Requests

Read more about EPIX Notice Regarding Loss Runs, Coverage & Credentialing Requests

Raymond James & Associates, Inc. Consent Order

Consent Order in Re: Raymond James & Associates, Inc. (“RJA”) and Raymond James Financial Services, Inc. (“RJFS”) (RJA and RJFS collectively “Respondents).

Read more about Raymond James & Associates, Inc. Consent Order

Safeguard Metals LLC | Jeffrey Ikahn FKA Jeffrey Santulan

DOCKET NO. 23-013-S
In Re: Safeguard Metals LLC | Jeffrey Ikahn FKA Jeffrey Santulan

Read more about Safeguard Metals LLC | Jeffrey Ikahn FKA Jeffrey Santulan

Flood and Rain Events Claims Data Call

NOTE: Insurance Bulletin #227 | Flood and Rain Events Claims Data Call PDF includes Flood Template file as attachment. Save the PDF to view the attachment.