Tag: Merrill Lynch
Merrill Lynch (Australia) Futures pays $60,000 in infringement notice penalty
Merrill Lynch (Australia) Futures Limited (“MLAF”) has paid a penalty of $60,000 to comply with an infringement notice given to it by the Markets Disciplinary...
FINRA Fines Merrill Lynch $2.8 Million for Systemic Reporting, Books and Records, and Related...
The Financial Industry Regulatory Authority (FINRA) announced today that it has fined Merrill Lynch, Pierce, Fenner and Smith Inc. $2.8 million for systemic trade...