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Violation Tracker Individual Record

Company: D.A. Davidson & Co.
Penalty: $375,000
Year: 2010
Date: April 12, 2010
Offense Group: financial offenses
Primary Offense: investor protection violation
Violation Description: The Financial Industry Regulatory Authority fined D.A. Davidson & Co., of Great Falls, MT, $375,000 for its failure to protect confidential customer information by allowing an international crime group to improperly access and hack the confidential information of approximately 192,000 customers.
Level of Government: federal
Action Type: agency action
Agency: Financial Industry Regulatory Authority
Civil or Criminal Case: civil
Source of Data: (click here)
Notes: FINRA is a securities industry self-regulatory body authorized by the federal government.
Source Notes: If an online information source is not working, check the Violation Tracker Data Sources page for an updated link.
Current parent company note: Parent-subsidiary relationship is current as of the most recent revision listed in the Update Log.