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Tag: Merrill Lynch fraud

Blog, Securities Fraud Articles

October 4, 2011

“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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Blog, Securities Fraud Articles

August 3, 2011

FINRA Fines Credit Suisse & Merrill Lynch for Misrepresentations

The Financial Industry Regulatory Authority (FINRA) has fined Credit Suisse Securities (USA) LLC $4.5 million, and Merrill Lynch $3...

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