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New Hampshire bars former Next Financial broker
The broker and Next Financial Group Inc. are on the hook for more than $1 million in penalties.
Merrill to pay $1.4 million over telemarketing violations
The company, which self-reported the issue, signed separate consent orders with Finra and the New Hampshire Bureau of Securities Regulation.
Merrill Lynch hit with record $26 million action over broker churning
New Hampshire Bureau of Securities Regulation called the settlement the 'largest monetary sanction' in the regulator's history
