United States: Firm Settles FINRA Charges For Suitability Violations On The Sale Of ETPs - Cadwalader, Wickersham & Taft LLP

Mondaq

24 May 2021 0 shares 1 views

United States: Firm Settles FINRA Charges For Suitability Violations On The Sale Of ETPs - Cadwalader, Wickersham & Taft LLP

Mondaq

Published 24 May 2021

A firm settled FINRA charges for suitability and supervisory violations related to the sale of non-traditional and volatility-linked exchange traded products.

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United States: Firm Settles FINRA And NYSE Arca Charges For Order Marking And Reg. SHO Locate Rule Violations - Cadwalader, Wickersham & Taft LLP

Mondaq 28 May 2021

A firm settled FINRA and NYSE Arca charges for mismarking sell orders and failing to document compliance with SEC Regulation SHO..

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United States: Firm Settles FINRA Charges For Duplicative Short-Interest Position Reporting - Cadwalader, Wickersham & Taft LLP

Mondaq 10 May 2021

A firm settled FINRA charges for reporting short-interest positions that were already reported by its clearing firm.

United States: Firm Settles FINRA Charges For Suitability Violations On The Sale Of ETPs - Cadwalader, Wickersham & Taft LLP

United States: Firm Settles FINRA Charges For Suitability Violations On The Sale Of ETPs - Cadwalader, Wickersham & Taft LLP

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United States: Firm Settles FINRA Charges For Duplicative Short-Interest Position Reporting - Cadwalader, Wickersham & Taft LLP