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.
CFH Clearing, Merrill Lynch, Playtech, Swiss Franc crisis
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UK commercial courts ruled in 2019 that Merrill had no obligation to over-ride the ISDA agreement with CFH in favour of market practices.
BofA, Merrill Lynch
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US brokerage regulator FINRA has announced that it has ordered Bank of America securities unit Merrill Lynch, Pierce, Fenner & […]
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