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FINRA Fines Merrill Lynch Over Unfiled Broker Reports

By Max Stendahl ( September 24, 2012, 1:53 PM EDT) -- The Financial Industry Regulatory Authority on Monday fined Merrill Lynch Pierce Fenner & Smith Inc. $500,000 for supposedly failing to report hundreds of civil and criminal complaints against its brokers between 2007 and 2011, including some alleging theft....

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