![United States: Firm Settles FINRA Charges For OATS Reporting And Supervisory Violations - Cadwalader, Wickersham & Taft LLP](https://cdn.newsserve.net/ONPglobe256.png)
United States: Firm Settles FINRA Charges For OATS Reporting And Supervisory Violations - Cadwalader, Wickersham & Taft LLP
A brokerage firm settled FINRA charges for supervisory failures and for failing to comply with Order Audit Trail System reporting obligations.
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