SEC.gov | Merrill Lynch to Pay $415 Million for Misusing Customer …

SEC.gov | Merrill Lynch To Pay $415 Million For Misusing Customer …

2 weeks from now

Jun 23, 2016  · Merrill Lynch agreed to pay $57 million in disgorgement and interest plus a $358 million penalty, and publicly acknowledged violations of the federal securities laws. The SEC’s …

sec.gov

Merrill Lynch Agrees To $415 Million Settlement With SEC Over …

2 weeks from now

Investors appear to be unconcerned with the $415 million fine the U.S. Securities and Exchange Commission handed to Merrill Lynch on Thursday , the wealth management and financial …

yahoo.com

Merrill Lynch To Pay $415 Million For Misusing Customer Cash: SEC

2 weeks from now

Jun 23, 2016  · Bank of America Corp's Merrill Lynch brokerage unit will pay $415 million and admit to wrongdoing to settle charges that it misused customer cash, the top U.S. securities …

reuters.com

Merrill Lynch To Pay $415 Million For Misusing Customer Cash: SEC

2 weeks from now

Jun 23, 2016  · Merrill Lynch violated an SEC rule for protecting customers' assets by holding up to $58 billion a day in a clearing account, Andrew Ceresney, the SEC's enforcement director, …

yahoo.com

BofA's Merrill Lynch Agreed To A $415M Settlement With SEC

2 weeks from now

Jun 27, 2016  · Bank of America's (BAC) Merrill Lynch unit agreed to pay $415 million to the SEC to settle the probe related to breach of the rules designed to protect client accounts.

yahoo.com

Merrill Lynch To Pay $415 Million After Allegations Of Violating SEC ...

2 weeks from now

Jun 23, 2016  · WASHINGTON (Legal Newsline) — Merrill Lynch will pay $415 million after allegations it misused customer cash to generate profits and failed to protect customer …

legalnewsline.com

SEC Dings Merrill Lynch For $415 Million - Courthouse News Service

2 weeks from now

Jun 24, 2016  · WASHINGTON (CN) — Merrill Lynch will pay $415 million to settle SEC charges it misused billions of dollars of customer cash per week that should have remained in reserve …

courthousenews.com

SEC Charges Pair Of Wells Fargo Advisory Firms And Merrill Lynch …

2 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

Bank Of America To Pay $415 Million To Settle SEC Probe

2 weeks from now

Jun 23, 2016  · Bank of America Corp.’s Merrill Lynch unit will pay $415 million to resolve accusations from the Securities and Exchange Commission that it misused customer cash, the …

wsj.com

Merrill Lynch To Pay $415 Million To Settle SEC Charges Over …

2 weeks from now

Jun 24, 2016  · Merrill Lynch has agreed to pay $415 million and admit wrongdoing in order to settle charges that it misused customer cash to generate profits, according to the Securities & …

dkrpa.com

Merrill Lynch Pays Over $400 Million To Settle SEC Charges

2 weeks from now

Jun 23, 2016  · The SEC has announced that Merrill Lynch has agreed to pay $415 million and admit wrongdoing to settle charges that it misused customer cash to generate profits and …

247wallst.com

Merrill Lynch To Pay $415 Million To Settle Charges Of Misusing ...

2 weeks from now

In an announcement on June 23, the Securities and Exchange Commission (SEC) has agreed to settle charges with Merrill Lynch. The SEC alleges that Merrill Lynch misused customer cash …

investorclaims.com

SEC Fines Wells, Merrill $60 Million Combined Over Cash Sweep ...

2 weeks from now

Jan 17, 2025  · 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, …

advisorhub.com

Merrill Lynch To Pay $415 Million In SEC Order For Misusing …

2 weeks from now

Merrill Lynch to Pay $415 Million in SEC Order for Misusing Customer Cash, in Addition to $5 Million FINRA order for Materially Misleading Investors By Michael Edmiston June 24, 2016 …

stocklaw.com

Wells Fargo Firms, Merrill Lynch To Pay $60 Million To Settle SEC …

2 weeks from now

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

BofA's Merrill Lynch Agreed To A $415M Settlement With SEC

2 weeks from now

Jun 27, 2016  · Bank of America's (BAC) Merrill Lynch unit agreed to pay $415 million to the SEC to settle the probe related to breach of the rules designed to protect client accounts.

zacks.com

SEC: Merrill Lynch To Pay $415M For Misusing Customer Cash

2 weeks from now

Jun 23, 2016  · Merrill Lynch has agreed to pay $415 million to settle charges that it misused customer cash to generate profits for the firm and failed to safeguard customer securities from …

complianceweek.com

SEC Fines Merrill Lynch $415 Million - PYMNTS.com

2 weeks from now

Jun 24, 2016  · According to the report, between 2009 and 2015, “Merrill Lynch held up to $58 billion per day of customer securities in a clearing account,” noting that if “Merrill Lynch …

pymnts.com

Merrill Lynch Pays Over $400 Million To Settle SEC Charges

2 weeks from now

Jun 23, 2016  · The SEC has announced that Merrill Lynch has agreed to pay $415 million and admit wrongdoing to settle charges that it misused customer cash to generate profits and …

yahoo.com

Merrill Lynch Accused Of Fraud In Lawsuit Following SEC Order

2 weeks from now

Mar 6, 2017  · The lawsuit, filed last week in California, came eight months after Merrill agreed to pay $415 million and admit wrongdoing under a settlement with the SEC over the same …

financial-planning.com