Finra hits Merrill for $450K over structured products sales – InvestmentNews

Finra hits Merrill for $450K over structured products sales
InvestmentNews
In a settlement agreement dated Monday, the Financial Industry Regulatory Authority Inc. claims that from 2006 through March 2009, Merrill did not have an automated compliance reporting system to flag potentially unsuitable concentrations of structured

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Finra hits Merrill for $450K over structured products sales – InvestmentNews

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