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Tag: Merrill Lynch

Blog, Current Investigations

William King Reportedly Resigns with 18 Complaints  

Customers Reportedly Allege Vero Beach Advisor William King Made Unsuitable, Unauthorized Trades   According to Advisor Hub this week,...

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Blog, Securities Fraud

Merrill Lynch Sanctioned for Cold Calling Violations 

Two Securities Regulators Fine Merrill Lynch $1.4 Million for Cold Calling Violations According to Investment News on May 4, 2023, Merrill...

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Blog, Securities Fraud

SEC has Record year for Enforcement Actions in 2022

The Securities and Exchange Commission Collected more than $6.4 Billion in 2022  According to Financial Advisor IQ, the Securities and...

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Blog, Securities Fraud

Wells Fargo to pay nearly $2.7 million for early UIT rollovers 

FINRA Sanctions Wells Fargo and four other BDs for excessive sales charges  According to The Financial Industry Regulatory...

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Blog, Current Investigations

The SEC Censures and Fines Merrill Lynch $42 Million

SEC Alleges Merrill Lynch Misled Customers According to a press announcement, the Securities and Exchange Commission has charged Merrill...

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Blog, Securities Fraud

Merrill Lynch to Pay Award to Lyon Capital Investor

There may still be time for investors who invested in the Lyon Capital Management VII or another collateralized loan obligation through...

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