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: Securities Law Prof Blog

FINRA Fines Merrill Lynch $500,000 for UIT Sales Discounts Failures

By Securites Lawprof

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FINRA fined Merrill Lynch $500,000 for failing to provide sales charge discounts to customers on eligible purchases of Unit Investment Trusts (UITs). FINRA also found that Merrill Lynch failed to have an adequate supervisory system in place to ensure customers...

Full post as published by Securities Law Prof Blog on August 18, 2010 (boomark / email).

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