News & Analysis as of

Policies and Procedures Fees Merrill Lynch

Royer Cooper Cohen Braunfeld LLC

Check the Checks - A Recent Lesson from FINRA and Merrill

At the start of this month, FINRA ordered Merrill Lynch to return nearly $1.5 million to its customers. FINRA determined that Merrill reps recommended that customers purchase products in brokerage accounts rather than...more

1 Results
 / 
View per page
Page: of 1

"My best business intelligence, in one easy email…"

Your first step to building a free, personalized, morning email brief covering pertinent authors and topics on JD Supra:
*By using the service, you signify your acceptance of JD Supra's Privacy Policy.
- hide
- hide