CME Group fines BofA Securities for alleged violations of CBOT rules
International derivatives marketplace CME Group has issued a notice of disciplinary action against BofA Securities, Inc.
BofA Securities
Plus500 appoints Merrill Lynch International as Joint Corporate Broker
Online trading company Plus500 Ltd (LON:PLUS) today announced the appointment of Merrill Lynch International (“BofA Securities”) as Joint Corporate Broker.
BofA Securities gets a slap on the wrist for alleged ICE Futures US rules violations
ICE Futures U.S. has posted a notice of settlement of charges against BofA Securities, Inc.
FINRA imposes $155k fine on BofA Securities
BofA Securities, Inc has agreed to pay a fine of $155,000 as a part of a settlement with the Financial Industry Regulatory Authority (FINRA).
BofA Securities resolves criminal investigation involving alleged market manipulation schemes
As part of the resolution, the Justice Department has declined to prosecute BoAS, and BoAS will disgorge approximately $1.96 million.
FINRA imposes $250k fine on BofA Securities
BofA Securities, Inc has agreed to pay a fine of $250,000 as a part of a settlement with the Financial Industry Regulatory Authority (FINRA).
FINRA fines BofA Securities for alleged rule violations
BofA Securities, Inc has agreed to pay a fine of $90,080 as a part of a settlement with the Financial Industry Regulatory Authority (FINRA).
FINRA imposes $24M fine on BofA Securities for Treasuries spoofing and related supervisory failures
FINRA announced today that it has fined BofA Securities, Inc. $24 million for engaging in more than 700 instances of spoofing.
CME fines BofA Securities for alleged rule violations
BofA Securities, Inc allegedly violated Customer Gross Margining Technical Overview Requirements and CME Rule 980.G.
BofA securities arm hit with $5M fine for OTC options reporting failures
Between January 2009 and October 2020, BofAS failed to report OTC options positions to the LOPR in more than 7.4 million instances.
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