Tag: Merrill Lynch
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...
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...
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...
FINRA Fines Atlanta based broker-dealer SunTrust Investment Services
FINRA recently today that it has ordered SunTrust Investment Services, Inc. of Atlanta, GA, to pay $1.44 million to resolve charges related...
