featured, FINRA, Merrill Lynch
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Merrill Lynch, Pierce, Fenner & Smith Incorporated has agreed to pay a fine of $2 million as a part of a settlement with FINRA.
featured, Harvest Volatility Management, Merrill Lynch, SEC
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SEC penalizes firms, recovers more than $6 million of excess fees tied to options trading strategy.
featured, ICE, Merrill Lynch
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Merrill Lynch Commodities, Inc. has agreed to pay a fine of $1 million for alleged ICE rule violations.
featured, FINRA, Merrill Lynch
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Merrill Lynch, Pierce, Fenner & Smith Incorporated has reached a settlement with FINRA for alleged rule violations.
featured, FINRA, Merrill Lynch
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Merrill Lynch, Pierce, Fenner & Smith has agreed to pay a fine of $825,000 as a part of a settlement with the Financial Industry Regulatory Authority (FINRA).
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.
