Broker-Dealer FINRA Investigation

A broker-dealer completed a FINRA investigation related to sales, supervision and product due diligence regarding fixed-income product and customer complaints. Our firm advised the broker-dealer in connection to the investigation. 

The Faegre Drinker Biddle & Reath LLP website uses cookies to make your browsing experience as useful as possible. In order to have the full site experience, keep cookies enabled on your web browser. By browsing our site with cookies enabled, you are agreeing to their use. Review Faegre Drinker Biddle & Reath LLP's cookies information for more details.