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Tag: Merrill Lynch

Blog, Securities Fraud

FINRA Fines Merrill Lynch and UBS for Supervisory Failures

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

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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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