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Tag: Merrill Lynch

Blog, Securities Fraud

July 30, 2009

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

May 21, 2009

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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