Brokerage executives charged with failing to protect customer information

Three former brokerage executives at Tampa-based GunnAllen Financial have been charged with failing to protect confidential information about their customers. The US Securities and Exchange Commission (SEC) has found that former GunnAllen president Frederick Kraus and former national sales manager David Levine failed to protect customers' data while transferring customer records to another firm. The pair has been charged alongside former chief compliance officer Mark Ellis. The SEC found Ellis

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