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Legal Update

SEC Sanctions Broker-Dealer and CCO for Failing to Preserve and Produce the Personal Email and Personal Computer of Independent Contractor

12 August 2010
Mayer Brown Legal Update
In In the Matter of vFinance Investments, Inc., the Securities and Exchange Commission censured, fined and issued cease and desist orders against vFinance Investments, Inc. (“vFinance”) and its former Chief Compliance Officer, Richard Campanella, for violating the recordkeeping and production requirements of the securities laws by failing to preserve and promptly produce electronic communications in response to SEC requests, including the personal email and personal computer of an independent contractor working in one of vFinance’s branch offices.
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