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9 个月前
BRIEF-FINRA says BofA's Merrill to pay $7 mln fine, restitution over customer leverage
2016年11月30日 / 下午2点52分 / 9 个月前

BRIEF-FINRA says BofA's Merrill to pay $7 mln fine, restitution over customer leverage

Nov 30 (Reuters) - Finra says it sanctions merrill lynch $7 million for inadequate supervision of securities-backed leverage in customer brokerage accounts

* Unit includes $6.25 million fine, about $780,000 in restitution

* Finra says 22 customers who were highly concentrated and highly leveraged in puerto rican securities are receiving restitution

* Finra says merrill did not admit or deny charges in agreeing to settle Further company coverage:

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