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Tag Archives: FINRA
FINRA Fines Merrill Lynch $2.8 for Overcharging Customers
On June 21, 2012, the Financial Industry Regulatory Authority announced that it fined Merrill Lynch, Pierce, Fenner & Smith, Inc. $2.8 million for supervisory failures and the resulting overcharge to customers of $32 million in unwarranted fees, and for failing to … Continue reading
Securities Enforcement Blog 