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Tag: Merrill Lynch fine

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Merrill Lynch fined $12.5m

According to reports, Bank of America Corp.‘s Merrill Lynch unit has been fined $12.5 million to settle allegations that the...

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Blog, Securities Fraud

Merrill Lynch fined by State of Massachusetts over supervisory failures.

Merrill Lynch recently agreed to pay a $2.5 million fine in Massachusetts to settle charges that it failed to follow its own compliance...

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Blog, Securities Fraud

Merrill Lynch Fined $500,000 for "Failure to Supervise"

Massachusetts security regulators fine Merrill Lynch $500,000 for “failure to supervise” a former broker who pled guilty to securities...

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