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

Mondaq

30 Dec 2020 0 shares 1 views

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

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

Mondaq

Published 30 Dec 2020

A firm settled FINRA charges for failing to supervise its representatives' recommendations regarding variable annuities, mutual funds and 529 plans.

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