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- SEC Charges Merrill Lynch and Parent Company for Failing to . . .
“Merrill Lynch and BACNAH did not file hundreds of Merrill Lynch SARs because they failed to comply with one of the most basic requirements for a SAR program ” The SEC’s order finds that Merrill Lynch violated the books and records provisions of Section 17(a) of the Securities Exchange Act of 1934 and Rule 17a-8 thereunder and that BACNAH
- FINRA Fines Merrill Lynch $6 Million for Longstanding AML . . .
Firm Failed to File Nearly 1,500 Suspicious Activity ReportsWASHINGTON—FINRA announced today that it has fined Merrill Lynch, Pierce, Fenner Smith Inc $6 million for failing to establish and implement policies, procedures, and internal controls reasonably designed to cause the reporting of suspicious transactions as required by the Bank Secrecy Act
- SEC Fines Wells, Merrill $60 Million Combined Over Cash Sweep . . .
The Securities and Exchange Commission fined Wells Fargo Advisors and Merrill Lynch a combined $60 million for failing to pay advisory customers a fair rate on cash sweeps, according to an
- SEC Charges Pair of Wells Fargo Advisory Firms and Merrill . . .
The Securities and Exchange Commission today announced settled charges against registered investment advisers Wells Fargo Clearing Services LLC and Wells Fargo Advisors Financial Network LLC (collectively Wells Fargo Advisors) and against Merrill Lynch, Pierce, Fenner Smith Incorporated (Merrill Lynch) for failing to adopt and implement written policies and procedures reasonably designed to
- Merrill, BofA Fined $12M for Suspicious Activity Report Failures
Merrill, BofA Fined $12M for Suspicious Activity Report Failures By John Manganaro News July 11, 2023 at 01:25 PM Share Print What You Should Be Reading NOT FOR REPRINT
- FINRA fines Merrill Lynch, BofA Securities $2. 3M for . . .
FINRA fines Merrill Lynch $825K over order execution supervision lapses 2024-05-10T16:55:00Z By Kyle Brasseur Merrill Lynch was assessed an $825,000 penalty by the Financial Industry Regulatory Authority for alleged supervision failures regarding the execution of marketable equity orders entered into its electronic order systems
- Merrill Lynch, BofA Fined $3M Over Manipulative Trading
Merrill Lynch and its parent company, Bank of America, have agreed to a $3 million fine by Finra for failing to adequately protect against manipulative trading, according to the regulator Since
- Finra Fines Merrill Lynch $1. 5 Million Over Avoidable Fees - MSN
Merrill Lynch has agreed to pay nearly $1 5 million to settle allegations that representatives of the firm executed transactions on behalf of more than 1,300 customers that resulted in unnecessary
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