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Financial Services

Trading Firm Loses Millions - To A Hacker

Trading Firm Loses Millions - To A Hacker

Trading firms are good at dealing with volatile markets, but hackers are a whole different challenge.

Joel Cahill
Joel Cahill
Financial Services
Financial Services Beware: Fake FINRA Site!

Financial Services Beware: Fake FINRA Site!

FINRA is warning members again. This time it's about an incredibly real-looking (but fake) FINRA website.

Joel Cahill
Joel Cahill
Financial Services
New York Files First DFS Cyber Suit

New York Files First DFS Cyber Suit

New York State is enforcing its 2017 Cybersecurity law for financial services companies. And it looks expensive.

Joel Cahill
Joel Cahill
Financial Services
SEC Risk Alert - Ransomware Targets Investment Companies

SEC Risk Alert - Ransomware Targets Investment Companies

In response to elevated Ransomware attacks, the SEC issued a cybersecurity warning to brokers and investment companies.

Joel Cahill
Joel Cahill
Financial Services
Cyber Criminals Posing as FINRA Officers

Cyber Criminals Posing as FINRA Officers

Cyber criminals are impersonating real FINRA officers to launch Phishing attacks.

Joel Cahill
Joel Cahill
Financial Services
SEC Pushes Increased Cyber Vigilance

SEC Pushes Increased Cyber Vigilance

This week, the SEC's Office of Compliance Inspections and Examinations (less frighteningly, the "OCIE") put out its report on Cybersecurity and Resiliency Observations. Before you take a nap, stick with me for 30 more seconds to get the goods. OCIE has highlighted information security as a key risk for security

Joel Cahill
Joel Cahill
Financial Services
FDIC Warns of Heightened Cyber Security Risks

FDIC Warns of Heightened Cyber Security Risks

The FDIC responded to increasing geopolitical risks (i.e. Iran post-Soleimani), with a statement "to remind supervised financial institutions of sound cybersecurity risk management principles." Financial institutions have recently faced fines and sanctions for avoidable cyber attacks. [Criminals] often obtain access to financial institution systems and networks by compromising user

Joel Cahill
Joel Cahill
Financial Services
Financial Advisor Duped, Then Fined

Financial Advisor Duped, Then Fined

A financial advisor with mega-bank UBS was fired and fined after falling for a Phishing scam. In October 2018, William Darby received a legitimate-looking email requesting a sizable cash disbursement from a large client's account. It was later determined that the client's email account had been hacked, and Mr. Darby

Joel Cahill
Joel Cahill
Financial Services