Tag: Merrill Lynch
Jamik Jamar Ligon fined and suspended by FINRA
FINRA recently announced that Jamik Jamar Ligon, formerly of Merrill Lynch, Pierce, Fenner & Smith, Incorporated in Jersey City, New...
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....
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...