United States:
Broker-Dealer Settles FINRA Trade Reporting Charges Relating To Exercise Of OTC Options
25 July 2019
Cadwalader, Wickersham & Taft LLP
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A broker-dealer settled FINRA charges of failing to report
transactions arising from the exercise of OTC options, and of
related supervisory violations.
To settle the charges, the firm agreed to a censure and a fine
of $100,000.
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