Federal Regulation
Ex-Broker Barred After Refusing to Respond to FINRA Probe
By Dinah Wisenberg BrinCambridge Investment Research dismissed Gregory Corrie last year, alleging excessive use of unit investment trusts.
June 25, 2021
Merrill to Pay More Than $11M Over UIT RolloversOver 3,000 clients incurred potentially excessive sales charges in connection with early UIT rollovers, FINRA says.