![United States: Broker-Dealer Settles FINRA Charges For Recordkeeping And Supervisory Failures - Cadwalader, Wickersham & Taft LLP](https://cdn.newsserve.net/ONPglobe256.png)
United States: Broker-Dealer Settles FINRA Charges For Recordkeeping And Supervisory Failures - Cadwalader, Wickersham & Taft LLP
A broker-dealer settled FINRA charges for failing to adequately retain records, screen associated persons and supervise the creation and dissemination of consolidated reports.
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