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SEC Fines JPMorgan, UBS and TradeStation for Lapses in Identity Theft Prevention

SEC Fines JPMorgan, UBS and TradeStation for Lapses in Identity Theft Prevention

All three firms agreed to pay the monetary penalty.

None have agreed or denied the charges.

The US Securities and Exchange Commission has charged and settled with J.P. Morgan Securities, UBS Financial Services and TradeStation Securities, all broker-dealers, for lapses in each of their programs to prevent customer identity theft.

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