Merrill pays $15.2 million to investors who spent too much for …
Jun 2, 2022 · Merrill customers paid approximately $13.4 million in excess fees and expenses, Finra said. Merrill agreed to provide restitution of $15.2 million, which includes an interest …
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Merrill Pays $15.2 Million To Investors Who Spent Too Much For …
3 weeks from now
Jun 2, 2022 · Merrill customers paid approximately $13.4 million in excess fees and expenses, Finra said. Merrill agreed to provide restitution of $15.2 million, which includes an interest …
investmentnews.com
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Bank Of America's Merrill Lynch To Pay $15.2 Million To …
3 weeks from now
Jun 2, 2022 · FINRA said Merrill's system often failed to limit purchases of Class C shares, causing customers to pay $13.4 million of unnecessary fees and expenses from January 2015 …
yahoo.com
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UPDATE 1-Bank Of America's Merrill Lynch To Pay $15.2 Mln To ...
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Jun 2, 2022 · FINRA said Merrill's system often failed to limit purchases of Class C shares, causing customers to pay $13.4 million of unnecessary fees and expenses from January 2015 …
yahoo.com
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Merrill To Reimburse Customers $15.2 Million For Mutual Fund …
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Jun 2, 2022 · In 2014, Merrill paid an $8 million fine and $24.2 million in restitution for suitability violations tied to selling Class A fund shares with sales charges to more than 30,000 accounts …
advisorhub.com
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Merrill Lynch To Reimburse Customers $1.5 Million Over Avoidable …
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Jul 3, 2024 · Merrill Lynch has been ordered to reimburse customers approximately $1.5 million due to supervisory lapses that led to avoidable fees on more than 2,000 accounts.
investmentnews.com
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Merrill Lynch Agrees To Settle Allegations Of 1.5 Million
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Jul 6, 2024 · Merrill Lynch agrees to pay nearly $1.5 million to settle allegations that its representatives executed transactions resulting in unnecessary fees for over 1,300 customers. …
thewealthadvisor.com
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Merrill Lynch Resolves Mutual Fund Overcharging Case
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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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FINRA Orders Merrill Lynch To Pay $15.2m In Restitution Over …
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Jun 3, 2022 · FINRA has ordered Merrill Lynch to pay more than $15.2 million in restitution and interest to thousands of customers who purchased Class C mutual fund shares when Class A …
financefeeds.com
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Finra: Merrill Lynch To Repay Clients $15 Million For Share-Class ...
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Industry regulator Finra ordered Merrill Lynch to pay more than $15.2 million to resolve allegations that it placed clients in costly shares of mutual funds when cheaper shares of the same funds ...
barrons.com
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FINRA: Merrill Lynch Must Pay $15.2M In Restitution To Customers
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Jun 7, 2022 · F. or the third time in eight years, Merrill Lynch, Pierce, Fenner & Smith has been ordered by the Financial Industry Regulatory Authority (FINRA) to pay restitution to thousands …
compliancechief360.com
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Merrill To Pay $1.5 Million After Brokers Sidestepped Fee Waivers ...
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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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Merrill Lynch To Pay Nearly $1.5 Million In Restitution Over …
3 weeks from now
Jul 12, 2024 · Merrill Lynch reached a settlement with the Financial Industry Regulatory Authority in connection with unnecessary fees charged to customers, according to AdvisorHub.. In a …
securitieslaw.com
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Finra Orders Merrill To Repay Customers Almost $1.5M On Fee …
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Jul 2, 2024 · The Financial Industry Regulatory Authority has ordered Merrill Lynch to return almost $1.5 million to customers, contending that the firm's supervisory lapses caused its …
fa-mag.com
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Finra Orders Merrill To Pay $11.65 Million Over UIT ... - AdvisorHub
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Jun 25, 2021 · Finra said that Merrill executed more than $32 billion in UIT transactions over the five years, including $2.5 billion worth of UITs sold more than 100 days before their typical 15 …
advisorhub.com
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Merrill Lynch Fined $1.5 Million For Charging Unnecessary Fees To …
3 weeks from now
Updated on: July 3, 2024 Did You Pay Unnecessary Fees at Merrill Lynch? Contact The Law Firm of KlaymanToskes Immediately. National investment loss lawyers KlaymanToskes reports the …
klaymantoskes.com
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Recent Merrill Lynch Scenario Underscores Need To Avoid …
3 weeks from now
Jun 16, 2020 · Last week, the Financial Industry Regulatory Authority (FINRA) issued a Letter of Acceptance Waiver and Consent (AWC) censuring Merrill Lynch and ordering $7.2 million in …
riacomplianceblog.com
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SEC Charges Pair Of Wells Fargo Advisory Firms And Merrill Lynch …
3 weeks from now
Jan 17, 2025 · The firms agreed to settle the SEC’s charges and pay $60 million in total civil penalties. According to the SEC’s orders, Wells Fargo Advisors and Merrill Lynch offered bank …
sec.gov
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