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Blog, Securities Fraud

Merrill Lynch Ok's funeral trust deal

Merrill Lynch & Co. has agreed to pay $18 million to end a State of Illinois investigation into its role in the erosion of a trust that...

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Blog, Securities Fraud

Wall Street Firms Still Preoccupied with Big Sales not Good Advice

Lest you believe that Wall Street has changed its stripes, and is now in the business of financial advising and consulting rather than...

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Blog, Securities Fraud

Regulators Require Disclosure Regarding Customer Complaints

Regulators Require Financial Firms to Provide More Public Disclosure Regarding Customer Complaints On May 13, 2009, the U.S. Securities and...

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