Firm Settles FINRA Charges For Failure To Monitor For Manipulative Trading – Finance and Banking

United States of America: Company settles FINRA fee for not monitoring fraudulent trade January 20 2022 Cadwallader, Wickersham and Taft LLP To print this article, all you need is to register or log on to Mondaq.com. The broker-dealer has settled the FINRA fee for failing to adequately monitor improper trading. In its Letter of Acceptance, … Read more