United States: Firm Settles FINRA Charges For Supervisory Failures Over Executive Communications - Cadwalader, Wickersham & Taft LLP

United States: Firm Settles FINRA Charges For Supervisory Failures Over Executive Communications - Cadwalader, Wickersham & Taft LLP

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A firm settled FINRA charges for failing to review "sensitive information" contained in electronic communications made by certain associated persons involved in the firm's securities business.

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