United States: Firm Settles NYSE Charges For Routing Violations - Cadwalader, Wickersham & Taft LLP

Mondaq

06 Aug 2021 0 shares 1 views

United States: Firm Settles NYSE Charges For Routing Violations - Cadwalader, Wickersham & Taft LLP

Mondaq

Published 06 Aug 2021

A full-service broker-dealer firm settled NYSE charges for routing competing orders for the same security at the same price, for the account of the same principal, to two different floor brokers.

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United States: Broker-Dealer Settles FINRA Charges For Failing To Monitor Private Transactions - Cadwalader, Wickersham & Taft LLP

A broker-dealer settled FINRA charges for failing to adequately supervise and keep records for one of its registered..

Mondaq 28 Aug 2021

United States: Firm Settles NYSE Charges For Routing Violations - Cadwalader, Wickersham & Taft LLP

United States: Firm Settles NYSE Charges For Routing Violations - Cadwalader, Wickersham & Taft LLP

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United States: Broker-Dealer Settles FINRA Charges For Failing To Monitor Private Transactions - Cadwalader, Wickersham & Taft LLP

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