United States: Firm Settles FINRA Charges For Failure To Keep Accurate Order Records - Cadwalader, Wickersham & Taft LLP

Mondaq

17 Dec 2020 0 shares 1 views

Mondaq

Published 17 Dec 2020

A broker-dealer settled charges for violating FINRA recordkeeping regulations by failing to keep an accurate memorandum for each brokerage order.

Full Article

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

Mondaq 30 Dec 2020

A firm settled FINRA charges for failing to supervise its representatives' recommendations regarding variable annuities, mutual..

A firm settled FINRA charges for Order Audit Trail System reporting violations and written supervisory procedure failings.

Mondaq 02 Dec 2020