United States: Firm Settles FINRA Charges For OATS Reporting And Supervisory Violations - Cadwalader, Wickersham & Taft LLP

Mondaq

05 Jan 2021 0 shares 1 views

Mondaq

Published 05 Jan 2021

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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United States: Firm Settles FINRA Charges For Supervision And Employee Screening Failures - Cadwalader, Wickersham & Taft LLP

Mondaq 28 Jan 2021

A firm settled FINRA charges for failing to fingerprint and adequately screen U.S.-based non-registered associated persons.

Mondaq 11 Jan 2021

A broker-dealer settled FINRA charges for failing to adequately retain records, screen associated persons and supervise the..