Merrill Pays $3M To Settle FINRA Claims Of Poor Trading Surveillance

The firm relied on “third-party automated surveillances” to check for potentially manipulative wash and prearranged trading which had overly narrow parameters, according to FINRA.

  Winners   Sep 3, 2024   0   578  Add to Reading List
Merrill Pays $3M To Settle FINRA Claims Of Poor Trading Surveillance
The firm relied on “third-party automated surveillances” to check for potentially manipulative wash and prearranged trading which had overly narrow parameters, according to FINRA.
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