Rulings

  1. Reaving a client's wallet

    6 February 2019
    Professional ban

    TRB-2019-3946.  A bank employee took - and did not return - a client's wallet, which the client had left at the employee's office. The Prosecutor's Office sought a reprimand, but the Disciplinary Commission imposed a three month professional ban.

  2. Office computer used for private means

    19 December 2018
    Reprimand

    TRB 2018-3862. A bank employee used an internet search machine on his office computer to search for pornographic material. The employee also visited websites for private use, such as news websites about football. The Disciplinary Commission ruled that the conduct was in breach of the Banker's Oath and imposed a reprimand. The employee's name was added to the names registry.

  3. Copying and taking home private financial data of a client

    19 December 2018
    Professional ban

    TRB-2018-3866.  A bank employee copied private financial data about a client's pension plans onto two USB memory sticks and took them home. Later, one of the sticks was lost inside the bank's office building and found by a colleague, who reported the individual to management. Management then filed a complaint with the Foundation for Banking Ethics Enforcement. The Disciplinary Commission ruled that the incident constituted a serious breach of the Banker's Oath and imposed a professonial ban of 9 months. The individual's name was added to the names registry.

  4. Uploading confidential data to a personal cloud outside the bank

    19 December 2018
    Professional ban

    TRB-2018-3868.   An individual was caught uploading confidential data to a personal private cloud server. His employer filed a complaint. The Disciplinary Commission ruled the trangression a serious breach of the Banker's Oath and imposed a professional ban of 12 months. The individual's name was added to the names registry.

  5. Viewing private financial data of clients without proper cause

    19 December 2018
    Professional ban

    TRB-2018-3880.  A bank employee viewed private financial data of a number of people, including family members, colleagues and neighbours, without proper cause. His bank filed a complaint against him. The Disciplinary Commission ruled the transgressions a serious breach of the Banker's Oath and imposed a professional ban of 4 months. The individual's name was added to the names registry.

  6. Viewing private financial records without cause

    11 December 2018
    Reprimand

    TRB-2018-3770.  A bank employee viewed financial records of clients without proper cause, the General Director found after an investigation based on a complaint. The bank employee admitted the transgressions and agreed to a settlement with reprimand. The employee's name was added to the names registry.

  7. Viewing and sharing private financiel records without proper cause

    11 December 2018
    Reprimand

    TRB-2018-3771. A bank employee viewed financial records of clients without proper cause and shared the information with a third party, the General Director found after an investigation based on a complaint. The bank employee admitted the transgressions and agreed to a settlement with reprimand. The employee's name was added to the names registry.

  8. Several conduct violations alleviated by personal circumstance

    19 November 2018
    Reprimand

    TRB-2018-3876. 

  9. Filing a false insurance claim and viewing private information without business cause

    13 November 2018
    Reprimand

    TRB-2018-3950. A certified individual filed a false insurance claim concerning car damage with an insurance company. The individual acted as the instigator, an investigation by the Prosecutor's Office revealed following a complaint. Damage to the car was caused by a colleague, who rammed a shopping cart against the car. The certified individual also viewed private information of clients without business cause. The individual agreed to a settlement and was handed a reprimand by the Prosecutor's Office. The name of the certified individual was added to the names registry.

  10. Copying a customer's signature

    5 November 2018
    Professional ban

    A defendant signed an official document with a signature that resembles that of a client. This does not quality as working with integrity, is in violation of the law and rules and regulations of the defendant's bank, and is detrimental to society's trust in the bank. 

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