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Tag: merrill lynch investigation

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Bank of America to pay $7.23 million in Restitution to Clients

Bank of America to pay $7.23 million in Restitution to Clients FINRA Sanctions Bank of America for Overcharging Customers on Mutual Funds...

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Blog, Securities Fraud

Merrill Lynch Settles Charges for $8.9 Million

SEC Censures & Fines Merrill Lynch for Conflict of Interest According to a press announcement, the Securities and Exchange Commission...

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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

“Supervisory Failures” Cost Merrill Lynch $1 Million

According to the Financial Industry Regulatory Authority (FINRA), “it has fined Merrill Lynch, Pierce, Fenner & Smith Inc., $1...

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