United States: Firm Settles FINRA Charges For Supervisory Failures On Variable Annuity Transactions  - Cadwalader, Wickersham & Taft LLP

United States: Firm Settles FINRA Charges For Supervisory Failures On Variable Annuity Transactions - Cadwalader, Wickersham & Taft LLP

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A firm settled FINRA charges for failing to properly supervise certain types of variable annuity transactions and to monitor variable annuity exchanges.

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