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

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

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A firm settled FINRA charges for selling variable annuities without properly implementing the firm's written supervisory procedures on recommendations and sales.

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