United States: Firm Settles FINRA Charges For Electronic Correspondence Failures - Cadwalader, Wickersham & Taft LLP

Mondaq

04 Dec 2020 0 shares 1 views

Mondaq

Published 04 Dec 2020

A firm settled FINRA charges for failing to journal approximately 6 million emails on its correspondence review platform.

United States: Firm Settles FINRA Charges For Inadequate Supervision Of Representatives' Recommendations - Cadwalader, Wickersham & Taft LLP

Mondaq 30 Dec 2020

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