United States: Broker-Dealer Settles FINRA Charges For Recordkeeping And Supervisory Failures - Cadwalader, Wickersham & Taft LLP

United States: Broker-Dealer Settles FINRA Charges For Recordkeeping And Supervisory Failures - Cadwalader, Wickersham & Taft LLP

Mondaq

Published

A broker-dealer settled FINRA charges for failing to adequately retain records, screen associated persons and supervise the creation and dissemination of consolidated reports.

Full Article