featured, Merrill Lynch, SEC
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The SEC has charged Merrill Lynch, Pierce, Fenner & Smith Incorporated and its parent company BAC North America Holding Co. (BACNAH).
featured, Merrill Lynch, SEC fine
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The SEC has charged Merrill Lynch, Pierce, Fenner & Smith Incorporated in connection with more than $4 million in undisclosed Forex fees.
Bank of America, Merrill Lynch, NYSE:BAC
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Merrill Lynch maintained a system designed to restrict a customer’s purchase of Class C shares when lower cost Class A shares were available.
Merrill Lynch failed to detect that two of its registered representatives were able to steal in excess of $6 million from 13 customers.
Merrill fine, Merrill Lynch
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From February 2015 through June 2021, Merrill failed to establish a supervisory system, to address short positions in municipal securities.
FINRA orders Merrill Lynch, Pierce, Fenner & Smith, Inc. to pay $8.4 million in restitution to customers for UIT supervisory failures.
Bank of America, Merrill Lynch, Morgan Stanley, spoofing lawsuit
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Plaintiffs in a spoofing lawsuit targeting Merrill Lynch, Bank of America, and Morgan Stanley, appeal from an earlier ruling.
Merrill fine, Merrill Lynch, MNPI
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FINRA has imposed a fine on Merrill Lynch, Pierce, Fenner & Smith for deficient supervision of employee communications.
Bank of America, Merrill Lynch, Morgan Stanley, spoofing lawsuit
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Merrill Lynch Commodities, Bank of America Corporation, and Morgan Stanley & Co have secured a dismissal of a spoofing complaint.
Central Bank of Russia, Merrill Lynch, Merrill Lynch Securities
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The Central Bank of Russia has annulled the dealer license of Merrill Lynch Securities.
