United States: Firm Settles FINRA Charges For Supervisory Failures On Quotations In OTC Equities - Cadwalader, Wickersham & Taft LLP

United States: Firm Settles FINRA Charges For Supervisory Failures On Quotations In OTC Equities - Cadwalader, Wickersham & Taft LLP

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A firm settled FINRA charges for maintaining inadequate supervisory procedures to prevent locking or crossing quotations in OTC equity securities.

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