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The SIPA | 2012 | September

The SIPA

The Blog Of The Securities Industry Professional Association
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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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