Tag: merrill lynch investigation
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...
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...
Merrill Lynch fined by State of Massachusetts
Merrill Lynch recently agreed to pay a $2.5 million fine in Massachusetts to settle charges that it failed to follow its own compliance...
“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...