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Tuesday, June 29, 2021

Merrill Lynch Penalized $11.6 Million For Improper UIT Rollovers

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Merrill Lynch Penalized $11.6 Million For Improper UIT Rollovers:

The transactions forced clients to pay millions of dollars in needless fees, according to Finra.

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The Securities Law Blog is edited by nationally known securities attorney Mark Astarita. Mark is also the editor of our main site, SECLaw.com - The Securities Law Home Page. He is a partner in the securities law firm of Sallah Astarita & Cox, and his personal lawyer website is at Securities Lawyer.

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