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Tag: merrill lynch FINRA fine

Blog, Current Investigations

FINRA Charges Merrill Lynch $7 Million

The Financial Industry Regulatory Authority said on November 30 it fined Merrill Lynch $7 million for inadequate supervision of client...

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Blog, Securities Fraud

3 Firms fined for providing inaccurate information about trades

The Financial Industry Regulatory Authority (FINRA) recently announced it has censured and fined Barclays Capital Inc.; Goldman, Sachs...

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Blog, Securities Fraud

Merrill Lynch sanctioned by FINRA over Brokercheck disclosures.

The Financial Industry Regulatory Authority (FINRA) recently announced that it has censured and fined Merrill Lynch, Pierce, Fenner &...

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Blog, Securities Fraud

FINRA fines Merrill Lynch over structured product sales.

According to reports, Merrill Lynch has agreed to pay a $450,000 fine and accept a censure in a case involving supervision of...

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Blog, Securities Fraud

“Supervisory Failures” Cost Merrill Lynch $1 Million

According to the Financial Industry Regulatory Authority (FINRA), “it has fined Merrill Lynch, Pierce, Fenner & Smith Inc., $1...

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