United States: Broker-Dealer And Representative Settle FINRA Charges For Inaccurate Expense Reporting - Cadwalader, Wickersham & Taft LLP

United States: Broker-Dealer And Representative Settle FINRA Charges For Inaccurate Expense Reporting - Cadwalader, Wickersham & Taft LLP

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A broker-dealer and one of its representatives settled FINRA charges for inaccurately reporting the broker-dealer's business expenses and the representative's personal expenses.

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