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Tag: Merrill Lynch

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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Blog, Securities Fraud

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...

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Blog, Securities Fraud

Merrill Lynch Settles Securities Fraud Charges

Merrill Lynch recently agreed to pay a $10 million fine to settle civil securities fraud charges by regulators who accused the firm of...

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