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Merrill Lynch June 21, 2018

The SEC Censures and Fines Merrill Lynch $42 Million

SEC Alleges Merrill Lynch Misled Customers According to a press announcement, the

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Merrill Lynch December 19, 2017

FINRA Fines Merrill Lynch $1.4 Million – Supervisory Issues

FINRA says Merrill Lynch Deficiencies Related to Extended Settlement Transactions

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Jay Dee Jordan August 15, 2017

Former Advisor Jay Dee Jordan Barred from Securities Industry

FINRA Bars Jay Dee Jordan for Numerous Violations According to the Financial

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Paul V. Blum August 15, 2017

Former Advisor Paul V. Blum Barred from Securities Industry

FINRA Bars Paul V. Blum for Failure to Appear for Testimony According to the

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Knight Energy Holdings August 8, 2017

Knight Energy Holdings LLC Files Chapter 11 Following Racketeering Scandal

Knight Energy Holdings LLC listed 11 Companies in the Chapter 11 petition Knight

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Merrill Lynch, Pierce, Fenner & Smith August 7, 2017

Merrill Lynch Pierce Fenner & Smith Incorporated Fined and Censured

FINRA Fines Merrill Lynch Pierce Fenner & Smith Incorporated for Compliance

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