The Blog Of The Securities Industry Professional Association

Archive for September, 2012

Merrill Lynch Rules

FINRA Fines Merrill one day of interest for five years of violations Today FINRA announced that they have fined Merrill Lynch $500, 000 for five years worth of violations related to their failure to timely update broker and firm records to reflect customer complaints and¬†arbitrations. In the Merrill Lynch case, FINRA found that: From 2007 […]
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