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Tag: merrill lynch lawsuit

fiduciary rule

September 4, 2018

Merrill Lynch Reverses Policy on Commission Based Accounts

Death of DOL’s Fiduciary Rule in March Leads to Merrill Lynch Policy Change According to reports this week, Merrill Lynch said on...

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Blog, Securities Fraud Articles

March 30, 2015

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...

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Blog, Securities Fraud Articles

November 4, 2013

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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Blog, Securities Fraud Articles

October 4, 2011

“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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