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RJ & Makay

Our view of news, events and human capital trends in the financial services industry.

FINRA fines and censures Merrill, LPL, National Financial and Van Kampen

Posted by RJ and Makay on Sep 30, 2011

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The Financial Industry Regulatory Authority (FINRA) earlier this month fined and disciplined Merrill Lynch, LPL Financial, National Financial Services, and Van Kampen Funds. The four financial services firms were censured and fined for various violations, and FINRA ordered them to perform a number of remedial actions.