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Tag: Merrill Lynch
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,...
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...
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...
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...
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...
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...
