![United States: Firms Settle FINRA Charges For Supervisory Violations On UIT Rollovers - Cadwalader, Wickersham & Taft LLP](https://cdn.newsserve.net/ONPglobe256.png)
United States: Firms Settle FINRA Charges For Supervisory Violations On UIT Rollovers - Cadwalader, Wickersham & Taft LLP
Two affiliated broker-dealers settled FINRA charges for inadequate supervision of the "rollover" of investments in Unit Investment Trusts.
Full Article