ARTICLE
1 July 2019

Broker-Dealer Settles FINRA Charges For Failing To Report Outside Activities

CW
Cadwalader, Wickersham & Taft LLP

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Cadwalader, established in 1792, serves a diverse client base, including many of the world's leading financial institutions, funds and corporations. With offices in the United States and Europe, Cadwalader offers legal representation in antitrust, banking, corporate finance, corporate governance, executive compensation, financial restructuring, intellectual property, litigation, mergers and acquisitions, private equity, private wealth, real estate, regulation, securitization, structured finance, tax and white collar defense.
A former general securities representative ("GSR") settled FINRA charges for failing to notify his company that he created an external cryptocurrency-mining business.
United States Corporate/Commercial Law

A former general securities representative ("GSR") settled FINRA charges for failing to notify his company that he created an external cryptocurrency-mining business.

The former GSR, Kyung Soo Kim, agreed to a $5,000 fine and a one-month suspension.

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