Merrill Lynch Fine for Supervisory Practices
In the below release, the NASD announced that it had “fined Merrill Lynch, Pierce, Fenner & Smith Inc. $5 million for supervisory failures, registration violations, impermissible sales contests and other violations in connection with the operation of its Financial Advisory Center (FAC) located in Hopewell, NJ and Jacksonville, FL.”
NASD Press Release
Posted by Greco & Greco on 07/20 at 11:22 AM
Brokerage Firms •
Merrill Lynch •
NASD Regulation •
(0) Trackbacks •
Permalink
Page 1 of 1 pages