FINRA Hits Merrill Lynch With $300,000.00 Fine For Failure To Supervise The Financial Industry Regulatory Authority (“FINRA”) has issued a fine and $300,000.00 fine and censure to Merrill Lynch, Pierce, Fenner & Smith Inc. (CRD#: 7691, New York, New York) pursuant to Letter of Acceptance, Waiver and Consent #: 2014041490801, executed on December 13, 2018. […]