United States: Broker-Dealer Settles Suitability Charges For ETF And Options Trading Violations - Cadwalader, Wickersham & Taft LLP

Mondaq

01 Dec 2021 0 shares 1 views

United States: Broker-Dealer Settles Suitability Charges For ETF And Options Trading Violations - Cadwalader, Wickersham & Taft LLP

United States: Broker-Dealer Settles Suitability Charges For ETF And Options Trading Violations - Cadwalader, Wickersham & Taft LLP

Mondaq

Published 01 Dec 2021

FINRA charged the broker-dealer with failing to develop appropriate oversight procedures for sales of non-traditional exchange trade products.

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