WALL STREET FRAUDSTERS

This is a look at Wall Street fraudsters via excerpts from various U.S. government web sites such as the SEC, FDIC, DOJ, FBI and CFTC.

Showing posts with label FEE RECONCILIATION PROCESS. Show all posts
Showing posts with label FEE RECONCILIATION PROCESS. Show all posts
Wednesday, August 27, 2014

MERRILL LYNCH TO PAY CFTC FINE FOR SUPERVISORY FAILURES

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FROM:  COMMODITY FUTURES TRADING COMMISSION  CFTC Orders Merrill Lynch to Pay $1.2 Million Fine for Supervision Failures Firm’s Supervi...
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