![United States: Firm Settles FINRA Charges For Failing To Monitor Employees' Outside Brokerage Accounts - Cadwalader, Wickersham & Taft LLP](https://cdn.newsserve.net/ONPglobe256.png)
United States: Firm Settles FINRA Charges For Failing To Monitor Employees' Outside Brokerage Accounts - Cadwalader, Wickersham & Taft LLP
A firm settled FINRA charges for failing to establish a supervisory system designed to monitor employees' outside brokerage accounts.
Full Article