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Merrill Lynch to Pay $12 Million for Failing to File Hundreds of Suspicious Activity Reports
Anti-money-laundering rules require broker-dealers to report to regulators on transactions over $5,000, but Merrill’s parent used a $25,000 threshold since their tie-up. Source link
Merrill Lynch to pay $6M to settle SEC charges for failure to file Suspicious Activity Reports
The Securities and Exchange Commission (SEC) today announced charges against Merrill Lynch, Pierce, Fenner & Smith Incorporated and its parent company BAC North America Holding
Merrill Lynch to pay $9.5M to settle SEC charges about undisclosed Forex fees
The Securities and Exchange Commission (SEC) has charged Merrill Lynch, Pierce, Fenner & Smith Incorporated for charging advisory clients more than $4 million in undisclosed