United States: Firm Settles FINRA Charges For OATS Reporting Violations - Cadwalader, Wickersham & Taft LLP
A firm settled FINRA charges for Order Audit Trail System reporting violations and written supervisory procedure failings.
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United States: Firm Settles FINRA Charges For OATS Reporting Violations - Cadwalader, Wickersham & Taft LLP
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