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 …
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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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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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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 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 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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Merrill To Pay $1.5 Million After Brokers Sidestepped Fee Waivers: …
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Jul 3, 2024 · Finra noted that in April 2020, RBC also agreed to pay $3.88 million to settle SEC charges that it had recommended more expensive share classes of mutual funds to certain …
advisorhub.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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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 To Pay Nearly $1.5 Million In Restitution Over …
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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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Bank Of America's Merrill Lynch To Pay $15.2 Million To …
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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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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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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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FINRA: Merrill Lynch To Pay $11.5M Over Lax UIT Sales Supervision
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Jun 25, 2021 · Merrill Lynch will pay more than $11 million in fines and restitution ... In addition to the ordered restitution, FINRA also levied a fine of $3.25 million against the firm, which has …
wealthmanagement.com
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Merrill Lynch To Pay $15 Million In Restitution To Settle FINRA …
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Jun 6, 2022 · The Financial Industry Regulatory Authority has censured and ordered Merrill Lynch to pay approximately $15.2 million ($13.4 million, plus interest) in
thediwire.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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Merrill Lynch, Peirce And Fenner & Smith, Inc. Fined 15.2 Million …
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Aug 1, 2022 · FINRA has announced Merrill Lynch, Peirce and Finner & Smith, Inc. was fined more than $15.2 million for restitution owed to customers who purchased Class C mutual …
lgwmlaw.com
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FINRA Fines Merrill Lynch, Pierce, Fenner & Smith $15.2 Million
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Jun 3, 2022 · FINRA today announced that Merrill Lynch, Pierce, Fenner & Smith, Inc. has been ordered to pay $15.2 million in restitution to thousands of customers who purchased class C …
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Wells Fargo Firms, Merrill Lynch To Pay $60 Million To Settle SEC …
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Jan 17, 2025 · (Reuters) -Merrill Lynch and two Wells Fargo advisory firms have agreed to pay a combined $60 million in civil penalties to settle U.S. Securities and Exchange Commission …
usnews.com
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