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Tag: merrill lynch FINRA fine
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...
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 &...
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...
“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...
