Merrill Lynch to pay $7.5M penalty to settle SEC charges
The Securities and Exchange Commission (SEC) today announced settled charges against registered broker-dealer Merrill Lynch, Pierce, Fenner & Smith Incorporated.
Merrill Lynch
FINRA imposes $175k fine on Merrill Lynch
Merrill Lynch, Pierce, Fenner & Smith Incorporated has agreed to pay a fine of $175,000 as a part of a settlement with the Financial Industry Regulatory Authority (FINRA).
FINRA imposes $225k fine on Merrill Lynch
Merrill Lynch, Pierce, Fenner & Smith Incorporated has agreed to pay a fine of $225,000 as a part of a settlement with the Financial Industry Regulatory Authority (FINRA).
FINRA imposes $275k fine on Merrill Lynch
Merrill Lynch, Pierce, Fenner & Smith Incorporated has agreed to pay a fine of $275,000 as a part of a settlement with FINRA.
Merrill Lynch to pay $2M fine to settle with FINRA
Merrill Lynch, Pierce, Fenner & Smith Incorporated has agreed to pay a fine of $2 million as a part of a settlement with FINRA.
SEC fines Merrill Lynch and Harvest Volatility Management for ignoring client instructions
SEC penalizes firms, recovers more than $6 million of excess fees tied to options trading strategy.
ICE fines Merrill Lynch Commodities $1M for alleged rule violations
Merrill Lynch Commodities, Inc. has agreed to pay a fine of $1 million for alleged ICE rule violations.
FINRA orders Merrill Lynch to pay $1.48M in restitution to 1361 customers
Merrill Lynch, Pierce, Fenner & Smith Incorporated has reached a settlement with FINRA for alleged rule violations.
FINRA imposes $825,000 fine on Merrill Lynch, Pierce, Fenner & Smith
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).
Merrill Lynch to pay $6M to settle SEC charges for failure to file Suspicious Activity Reports
The SEC has charged Merrill Lynch, Pierce, Fenner & Smith Incorporated and its parent company BAC North America Holding Co. (BACNAH).
