United States: Firm Settles FINRA Charges For Excessive Commissions - Cadwalader, Wickersham & Taft LLP

United States: Firm Settles FINRA Charges For Excessive Commissions - Cadwalader, Wickersham & Taft LLP

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A firm settled FINRA allegations for charging excessive commissions on certain transactions in equity securities, in violation of FINRA's "5% policy" around markups.

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