by Justin Knapp | Jun 18, 2014 | Current Affairs, Financial Articles, FINRA
Finra slapped Bank of America Merrill Lynch with an $8 million fine and ordered the wirehouse to pay a total of $89 million in restitution for failing to waive mutual fund sales charges for certain charities and retirement accounts. Most of the mutual funds on Merrill...
by Justin Knapp | Aug 14, 2008 | FINRA
http://www.finra.org/InvestorInformation/InvestorAlerts/TradingSecurities/AuctionRateSecuritiesWhatHappensWhenAuctionsFail/index.htm
by Justin Knapp | Jun 27, 2008 | FINRA
An article from the June 30, 2008 Businessweek on how stockbrokers’ misconducts are handled. Download only_deal_or_no_deal_finra.pdf
by Justin Knapp | Jun 25, 2008 | FINRA
Here is a link to FINRA’s Home Page .
