merrill lynch FINRA fine
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December 1, 2016

FINRA Charges Merrill Lynch $7 Million

The Financial Industry Regulatory Authority said on November 30 it fined Merrill

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June 18, 2014

3 Firms fined for providing inaccurate information about trades

The Financial Industry Regulatory Authority (FINRA) recently announced it has

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September 26, 2012

Merrill Lynch sanctioned by FINRA over Brokercheck disclosures.

The Financial Industry Regulatory Authority (FINRA) recently announced that it has

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June 15, 2012

FINRA fines Merrill Lynch over structured product sales.

According to reports, Merrill Lynch has agreed to pay a $450,000 fine and accept a

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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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