Tag: Merrill Lynch losses
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 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...
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...
FINRA Fines Credit Suisse & Merrill Lynch for Misrepresentations
The Financial Industry Regulatory Authority (FINRA) has fined Credit Suisse Securities (USA) LLC $4.5 million, and Merrill Lynch $3...
