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: Securities Law Prof Blog

FINRA Fines Merrill & UBS for Unsuitable CEF Sales

By Securites Lawprof

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FINRA announced today that it fined Merrill Lynch, Pierce, Fenner & Smith, Inc. $150,000 and UBS Financial Services, Inc. $100,000 for supervisory failures that led to unsuitable short-term sales of closed-end funds (CEF) purchased at the funds' initial public offerings....

Full post as published by Securities Law Prof Blog on July 28, 2009 (boomark / email).

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