Fwd: CFTC Orders Merrill Lynch to Pay $1.2 Million Fine for Supervision Failures

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From: CFTC.gov <cftc@service.govdelivery.com>
Date: Tue, Aug 26, 2014 at 2:13 PM
Subject: CFTC Orders Merrill Lynch to Pay $1.2 Million Fine for Supervision Failures
To: iammejtm@gmail.com

You are subscribed to Press Releases for CFTC.gov. This information has recently been updated, and is now available. CFTC Orders Merrill Lynch to Pay $1.2 Million Fine for Supervision Failures 08/26/2014 04:48 PM EDT The U.S. Commodity Futures Trading Commission (CFTC) today issued an Order filing and simultaneously settling charges against Merrill Lynch, Pierce, Fenner & Smith Incorporated (Merrill Lynch) for failing to diligently supervise its officers', employees', and agents' processing of futures exchange and clearing fees charged to its customers from at least January 1, 2010 through April 2013. STAY CONNECTED:       Questions? Contact Us SUBSCRIBER SERVICES:  Manage Preferences | Unsubscribe | Help   This email was sent to iammejtm@gmail.com using GovDelivery, on behalf of the Commodity Futures Trading Commission · 1155 21st Street, NW · Washington DC 20581 · 202-418-5000

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Jeremy Tobias Matthews