FINRA Orders Merrill Lynch, Pierce, Fenner & Smith Inc. to Pay $7.2 Million in Restitution to Customers Overcharged for Mutual Funds

FINRA - Financial Industry Regulatory Authority

Source

Published on Jun. 4th, 2020 Published on Jun. 4th, 2020

Scenario: Conduct / Client Overcharging

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Sept. 20th, 2021

ORX Forum

ELSEWARE/MSTAR will be speaking on climate stress on operational risk at the ORX forum on September 23. In particular, we will be presenting the work we have done on this topic with the American Bankers Association and a group of banks.