October, 2011
Archive

October 4, 2011

“Supervisory Failures” Cost Merrill Lynch $1 Million

According to the Financial Industry Regulatory Authority (FINRA), “it has fined

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October 4, 2011

Forex Capital Markets LLC Settles Charges of Failure to Supervise...

According to a public release from cftc.gov, “The U.S. Commodity Futures Trading

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October 3, 2011

“Selling Away” a Concern for Regulators, Investors and Brokerage Firms

According to the investmentnews.com, “Stockbrokers who sell products that promise

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