Home » Posts tagged with » Merrill Lynch

Merrill Lynch settles with securities division

Merrill Lynch agreed to stop using unlicensed brokers to sell securities in Colorado and to establish a trade monitoring system that makes sure its salespeople are licensed in the state. The agreement is part of a settlement between the brokerage firm and the Colorado Division of Securities, after the division claimed the firm allowed their… Continue Reading Merrill Lynch settles with securities division