United States: Clearing Firm Settles NYSE American Charges For Options Reporting Failures - Cadwalader, Wickersham & Taft LLP

Mondaq

21 Dec 2020 0 shares 1 views

United States: Clearing Firm Settles NYSE American Charges For Options Reporting Failures - Cadwalader, Wickersham & Taft LLP

Mondaq

Published 21 Dec 2020

A clearing firm settled NYSE American charges for failing to accurately report options positions to the Large Options Position Reporting ("LOPR") system.

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..

More coverage

United States: Adviser Settles SEC Charges For Disclosure Failures That Harmed Investors - Cadwalader, Wickersham & Taft LLP

An investment adviser settled SEC charges for failing to disclose that it transferred the majority of its highest-performing..

Mondaq 14 Dec 2020

United States: Clearing Firm Settles NYSE American Charges For Options Reporting Failures - Cadwalader, Wickersham & Taft LLP

United States: Clearing Firm Settles NYSE American Charges For Options Reporting Failures - Cadwalader, Wickersham & Taft LLP

You might like

Related news coverage

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

Advertisement

More coverage

United States: Adviser Settles SEC Charges For Disclosure Failures That Harmed Investors - Cadwalader, Wickersham & Taft LLP