{"id":4550,"date":"2008-01-14T20:18:41","date_gmt":"2008-01-14T20:18:41","guid":{"rendered":"https:\/\/www.stockbrokerfraudblog.com\/2008\/01\/bear_stearns_merrill_lynch_deu"},"modified":"2022-03-25T15:02:37","modified_gmt":"2022-03-25T20:02:37","slug":"bear-stearns-merrill-lynch-deu","status":"publish","type":"post","link":"https:\/\/www.investorlawyers.com\/blog\/bear-stearns-merrill-lynch-deu\/","title":{"rendered":"Bear, Stearns, Merrill Lynch, Deutsche Bank Securities and UBS Securities Among the 19 Broker-Dealers to Settle SRO Charges Of Overstated Ad Volumes"},"content":{"rendered":"

Last week, the Financial Industry Regulatory Authority (FINRA) announced that 19 broker-dealers agreed to pay fines to settle SRO charges that they “substantially overstated their advertising trade volume to private sector providers.” By agreeing to pay the fines, none of the firms are admitting to or denying the charges.<\/p>\n

FINRA says that after comparing each firm’s advertised trade volume in selected securities with executed trade volume for the same issuer, they noticed overstatements that were substantial in at least one of the securities examined.<\/p>\n

Broker-dealers that agreed to be fined $200,000:<\/em><\/p>\n

Continue Reading \u203a<\/a><\/div>\n","protected":false},"excerpt":{"rendered":"

Last week, the Financial Industry Regulatory Authority (FINRA) announced that 19 broker-dealers agreed to pay fines to settle SRO charges that they “substantially overstated their advertising trade volume to private sector providers.” By agreeing to pay the fines, none of the firms are admitting to or denying the charges. FINRA says that after comparing each […]<\/p>\n","protected":false},"author":2,"featured_media":0,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"jetpack_post_was_ever_published":false,"footnotes":""},"categories":[3774],"tags":[],"class_list":["post-4550","post","type-post","status-publish","format-standard","hentry","category-broker-dealers"],"yoast_head":"\nBear, Stearns, Merrill Lynch, Deutsche Bank Securities and UBS Securities Among the 19 Broker-Dealers to Settle SRO Charges Of Overstated Ad Volumes — Investor Lawyers Blog — January 14, 2008<\/title>\n<meta name=\"description\" content=\"Last week, the Financial Industry Regulatory Authority (FINRA) announced that 19 broker-dealers agreed to pay fines to settle SRO charges that they — January 14, 2008\" \/>\n<meta name=\"robots\" content=\"index, follow, max-snippet:-1, max-image-preview:large, max-video-preview:-1\" \/>\n<link rel=\"canonical\" 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