Updated Thursday, April 24, 2014 as of 6:13 AM ET
Industry - Wirehouses
FINRA Fines Merrill for Trading Infraction
Tuesday, April 16, 2013
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The Financial Industry Regulatory Authority announced Tuesday it fined Merrill Lynch, Pierce, Fenner & Smith Inc. $1.05 million for failing to provide best execution in certain transactions involving non-convertible preferred securities and for failing to have an adequate supervisory system and written supervisory procedures.

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