Tag: Merrill Lynch FINRA penalty
Merrill Lynch sanctioned by FINRA over Brokercheck disclosures.
The Financial Industry Regulatory Authority (FINRA) recently announced that it has censured and fined Merrill Lynch, Pierce, Fenner &...
FINRA fines Merrill Lynch over structured product sales
According to reports, Merrill Lynch has agreed to pay a $450,000 fine and accept a censure in a case involving supervision of...