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Tag: Merrill Lynch losses

Blog

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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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

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

FINRA Fines Credit Suisse Securities $4.5 Million and Merrill Lynch $3 Million for Misrepresentations Related to Subprime Securitizations

The Financial Industry Regulatory Authority (FINRA) has fined Credit Suisse Securities (USA) LLC $4.5 million, and Merrill Lynch $3...

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