April 20, 2020 BY Steffy Bogdanova

Merrill Lynch, Pierce, Fenner & Smith, Eagle Strategies and Cozad Asset Management ordered to reimburse investors

C. Dabney O’Riordan, Co-Chief of the Asset Management Unit said: This incredibly successful initiative led to the return of almost $140 million to harmed investors, stopped wrongful conduct, and highlighted the importance of an adviser’s obligations to provide full and fair disclosures to clients. We continue to actively pursue disclosure failures that financially benefit the…

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