投资者律师博客FINRA订购了美国美林（Wells Fargo）和美国美林（Merrill Lynch）的Banc，下令支付510万美元的浮动利率银行贷款资金销售
金融行业监管局公司说，Merrill Lynch，Pierce，Fenner＆Smith Incorporated（MER）富国银行顾问有限责任公司必须支付510万美元的损失，这些客户购买了浮动银行贷款资金。
According to the SRO, brokers at Banc of America and Merrill recommended the purchase of floating-rate bank loan funds to customers who didn’t have investment goals, risks tolerance, or financial conditions that were consistent with the features and risks of these kinds of mutual funds. Instead, these were customers whose risk tolerance levels were conservative and wanted to preserve principal. FINRA says that the sale recommendations were made even though there wasn’t reason to believe that floating-rate bank loan funds would be suitable for these investors.
关于对富国银行的指控，FINRA在接受和同意书的接受情况下说，那里的经纪人警告了这笔资金，但该公司未能对他们的担忧采取行动。SRO说，经纪人甚至将资金与银行存款证书和其他风险不那么风险的投资混淆。