Merrill Lynch resolves mutual fund overcharging case - Investment …
Jun 2, 2022 · U.S. regulators ordered brokerage firm Merrill Lynch Pierce Fenner & Smith Inc. to pay US$15.2 million in restitution to clients who were put into a pricier category of mutual …
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Merrill Lynch Resolves Mutual Fund Overcharging Case - Investment …
3 weeks from now
Jun 2, 2022 · U.S. regulators ordered brokerage firm Merrill Lynch Pierce Fenner & Smith Inc. to pay US$15.2 million in restitution to clients who were put into a pricier category of mutual …
investmentexecutive.com
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Merrill Lynch Resolves Mutual Fund Overcharging Case - Advisor's …
3 weeks from now
Jun 2, 2022 · U.S. regulators ordered brokerage firm Merrill Lynch Pierce Fenner & Smith Inc. to pay US$15.2 million in restitution to clients who were put into a pricier category of mutual …
advisor.ca
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Merrill Pays $15.2 Million To Investors Who Spent Too Much For …
3 weeks from now
Jun 2, 2022 · Finra announced Thursday that Merrill Lynch Pierce Fenner & Smith Inc. will pay $15.2 million to investors who purchased expensive share classes of mutual funds when more …
investmentnews.com
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Merrill To Reimburse Customers $15.2 Million For Mutual Fund …
3 weeks from now
Jun 2, 2022 · The Financial Industry Regulatory Authority ordered Merrill Lynch to reimburse customers $15.2 million for selling more expensive mutual fund share classes when others …
advisorhub.com
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UPDATE 1-Bank Of America's Merrill Lynch To Pay $15.2 Mln To ...
3 weeks from now
Jun 2, 2022 · Bank of America Corp's Merrill Lynch unit will pay more than $15.2 million to thousands of customers who it steered automatically into buying costlier mutual fund shares …
yahoo.com
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Merrill Lynch Settles FINRA Mutual Fund Case For $15.2M | Financial ...
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Jun 6, 2022 · The restitution plus interest in the most recent settlement, plus those ordered in Merrill’s two previous FINRA cases, adds up to $46.8 million in client mutual fund fees during …
financial-planning.com
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Bank Of America's Merrill Lynch To Pay $15.2 Million To …
3 weeks from now
Jun 2, 2022 · NEW YORK (Reuters) -Bank of America Corp's Merrill Lynch unit will pay more than $15.2 million to thousands of customers who it steered automatically into buying costlier …
yahoo.com
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Merrill Lynch Resolves Mutual Fund Overcharging Case
3 weeks from now
U.S. regulators ordered brokerage firm Merrill Lynch Pierce Fenner & Smith Inc. to pay US$15.2 million in restitution to clients who were put into a pricier category of mutual funds when a …
advisor.ca
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Merrill Lynch Mutual Funds: Losses On Class C Fund?
3 weeks from now
FINRA has fined Merrill Lynch $15 million following allegations that the firm overcharged investors for mutual funds.
kurtalawfirm.com
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Finra Orders Merrill Lynch To Pay $7.2 Million Over Mutual Fund ...
3 weeks from now
Jun 4, 2020 · Finra ordered Merrill Lynch to return $7.2 million to customers who overpaid for mutual fund transactions, the regulator announced Thursday.
investmentnews.com
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FINRA Fines Merrill Lynch $8 Million And Orders It To Repay Over …
3 weeks from now
Jun 18, 2014 · The Financial Industry Regulatory Authority (FINRA) announced a fine against Merrill Lynch, Pierce, Fenner & Smith, Inc. for $8 million for charging excessive mutual fund …
silverlaw.com
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Merrill Lynch’s Mutual Fund Restitution Tops $119M After Latest …
3 weeks from now
The restitution plus interest in the most recent settlement, plus those ordered in Merrill’s two previous FINRA cases, adds up to $46.8 million in client mutual fund fees during the past eight …
investingplanner.com
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FINRA Orders Merrill Lynch To Pay Its Customers $7.2 Million In ...
3 weeks from now
On June 4, 2020, the Financial Industry Regulatory Authority (“FINRA”) announced that it ordered Merrill Lynch, Pierce, Fenner & Smith Inc. to pay its customers more than $7.2 million in …
newyorksecuritieslawyerblog.com
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Investment Giant Settles For $26 Million Over Excessive Churning
3 weeks from now
Dec 8, 2020 · Regulators in New Hampshire, U.S. have reached a $26 million settlement with Merrill Lynch over allegations it failed to stop churning and other infractions by one of its …
wealthprofessional.ca
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Merrill Lynch To Pay $7.2M To Customers Overcharged For Mutual …
3 weeks from now
Jun 11, 2020 · Merrill Lynch will pay more than $7.2 million in restitution and interest to customers who incurred unnecessary sales charges and paid excess fees in connection with mutual fund …
complianceweek.com
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Merrill To Pay $1.5 Million After Brokers Sidestepped Fee Waivers ...
3 weeks from now
Jul 3, 2024 · The Financial Industry Regulatory Authority censured Merrill Lynch and ordered it to pay $1.5 million to over 1,300 customers who were charged unnecessary fees in their advisory …
advisorhub.com
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FINRA Fines Merrill Lynch $8 Million Over Mutual Fund Overcharge
3 weeks from now
Jun 16, 2014 · Merrill Lynch has nearly had to pay $100 million due to various FINRA fines because of overcharges to retirement accounts and charities.
fortune.com
FAQs about Merrill Lynch resolves mutual fund overcharging case - Investment … Coupon?
Did Merrill Lynch overpay for Class C Mutual Funds?
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Did Merrill Lynch violate FINRA Rule 8210?
Did Merrill Lynch flag a Class C Mutual Fund purchase?
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