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: Securities Law Prof Blog

Merrill Lynch Settles "Squawk Box" Violations

By Securites Lawprof

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The SEC charged Merrill Lynch, Pierce, Fenner & Smith Inc. with securities laws violations for having inadequate policies and procedures for controlling access to institutional customer order flow. Merrill Lynch agreed to settle the SEC?s charges and pay a $7...

Full post as published by Securities Law Prof Blog on March 11, 2009 (boomark / email).

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