FINRA ORDERS MERRILL LYNCH, PIERCE, FENNER & SMITH INC., RAYMOND JAMES & ASSOCIATES AND RAYMOND JAMES FINANCIAL SERVICES TO PAY MORE THAN $12 MILLION IN RESTITUTION TO CUSTOMERS FOR SUPERVISORY FAILURES

FINRA announced that Merrill Lynch, Pierce, Fenner & Smith Incorporated (Merrill Lynch), Raymond James & Associates, Inc. (RJA), ...

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FINRA Enforcement

CN Editor

November 07, 2019

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