Merrill Lynch to reimburse customers $1.5 million over avoidable …
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.
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Merrill Lynch To Reimburse Customers $1.5 Million Over Avoidable …
3 weeks from now
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 To Reimburse Customers $15.2 Million For Mutual Fund …
3 weeks from now
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 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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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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Merrill Lynch Agrees To Settle Allegations Of 1.5 Million
3 weeks from now
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 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 $1.5 Million Over Avoidable Fees - MSN
3 weeks from now
M errill 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 ...
msn.com
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Finra Orders Merrill To Repay Customers Almost $1.5M On Fee …
3 weeks from now
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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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 Settles FINRA Mutual Fund Case For $15.2M | Financial ...
3 weeks from now
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 Fines Merrill Lynch For Supervisory Failures, Orders $1.5 …
3 weeks from now
Oct 18, 2023 · The Financial Industry Regulatory Authority (FINRA) has reached a settlement with Merrill Lynch, Pierce, Fenner & Smith Incorporated over supervisory failures that resulted in …
grcreport.com
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Merrill Lynch Regulatory History Review - The White Law Group
3 weeks from now
July, 1 2024: Merrill Lynch has reportedly been ordered by FINRA to reimburse approximately $1.5 million to customers due to supervisory failures that led to avoidable fees on over 2,000 …
whitesecuritieslaw.com
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Finra: Merrill Lynch To Repay Clients $15 Million For Share-Class ...
3 weeks from now
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 Fined $1.5 Million For Charging Unnecessary Fees To …
3 weeks from now
Jul 3, 2024 · National investment loss lawyers KlaymanToskes reports the Financial Industry Regulatory Authority (“FINRA”) has censured Merrill Lynch and ordered the brokerage firm to …
klaymantoskes.com
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Merrill Violated Reg BI With $1.5M In Avoidable Fees: FINRA
3 weeks from now
Jul 5, 2024 · Merrill's failure to stop its reps from dodging fee waivers affected 1,361 clients, according to FINRA. Merrill Violated Reg BI With $1.5M in Avoidable Fees: FINRA Tax Facts …
thinkadvisor.com
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Merrill To Pay Clients $15M For Share Class Violations - ThinkAdvisor
3 weeks from now
Jun 2, 2022 · FINRA ordered the firm to pay restitution and interest to thousands of customers related to Class C shares sold over a six-year period. Merrill to Pay Clients $15M for Share …
thinkadvisor.com
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Merrill To Pay $1.5m Over Avoidable Fees, Reg BI Violations - Citywire
3 weeks from now
Jul 8, 2024 · Finra found that Merrill brokerage reps recommended that clients buy fee-generating securities in brokerage accounts when the same products were eligible for fee waivers had …
citywire.com
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Merrill Lynch To Pay $1.5 Million For Unnecessary Fees Amidst ...
3 weeks from now
Jul 3, 2024 · Merrill Lynch to Pay $1.5 Million for Unnecessary Fees Amidst Supervisory Deficiencies ...
ainvest.com
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