guys…
"These proceedings arise out of the failure of Loop Capital, a broker-dealer, to preserve
certain communications relating to its business, in violation of Section 17(a) of the Exchange Act
and Rule 17a-4 thereunder, by failing to preserve emails transmitted by a senior registered
1 The findings herein are made pursuant to Respondent’s Offer of Settlement and are not binding on any other
person or entity in this or any other proceeding.
2
representative (the “Registered Representative”). During 2011 and 2012, the Registered
Representative used her personal email address to send communications relating to Loop
Capital’s business with other employees and with third parties, including an issuer official and a
registered broker-dealer."
Loop Capital SEC cease and desist order
https://www.sec .gov/litigation/admin/2017/34-81898.pdf