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: The BLT: The Blog of Legal Times

SEC Extracts $10 Million Settlement from Merrill Lynch

By Jenna Greene

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Merrill Lynch, Pierce, Fenner & Smith Inc. agreed to pay a $10 million fine to settle Securities and Exchange Commission charges that the company misused customer information and charged undisclosed trading fees. According to the SEC, between 2003 and 2005...

Full post as published by The BLT: The Blog of Legal Times on January 25, 2011 (boomark / email).

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