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Tag: Merrill Lynch FINRA sanction

Blog, Securities Fraud Articles

September 26, 2012

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 Articles

June 15, 2012

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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