United States: Broker-Dealer Settles FINRA Charges For Violations Relating To Employee Hiring - Cadwalader, Wickersham & Taft LLP

United States: Broker-Dealer Settles FINRA Charges For Violations Relating To Employee Hiring - Cadwalader, Wickersham & Taft LLP

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A broker-dealer settled FINRA charges for failing to (i) establish and maintain an appropriate supervisory system for newly hired employees and (ii) notify FINRA of material changes in its business.

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