FINRA - Financial Industry Regulatory Authority

FINRA Fines Merrill Lynch $450K for potential insider information leaks. Merrill Lynch has agreed to pay a $450K fine after the physical relocation of one of the firm's investment management units led to the "potential" sharing of material nonpublic information, according to a settlement with the Financial Industry Regulatory Authority.


Published on Mar. 30th, 2021 Published on Mar. 30th, 2021

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