Merrill Lynch, Harvest Volatility Management to pay $9.3 …
WEB2 days ago — Merrill Lynch, Pierce, Fenner & Smith and Harvest Volatility Management have agreed to pay a combined $9.3 million to settle U.S. Securities and Exchange Commission charges related to investment ...
Merrill Lynch, Harvest Volatility Management to pay $9.3 …
WEB3 days ago — Sept. 25 (UPI) --The U.S. Securities and Exchange Commission said Wednesday that Harvest Volatility Management LLC and Merrill Lynch, Pierce, Fenner & Smith Inc. have agreed to pay a combined $9.3 ...
SEC Charges Merrill Lynch and Harvest Volatility Management …
WEB3 days ago — The Securities and Exchange Commission today announced charges against Harvest Volatility Management LLC and Merrill Lynch, Pierce, Fenner & Smith Inc. for exceeding clients’ designated investment limits over a two-year period beginning in March 2016, which resulted in clients paying higher fees, being subjected to increased market exposure, and incurring investment losses.
SEC charges Merrill Lynch, Harvest Volatility Management for …
WEB2 days ago — The Securities and Exchange Commission charged Harvest Volatility Management and Merrill Lynch on Wednesday for exceeding clients' predesignated investment limits over a two-year period. The two ...
SEC Charges Merrill Lynch and Harvest Volatility Management …
WEB2 days ago — Washington, D.C.--(Newsfile Corp. - September 25, 2024) - The Securities and Exchange Commission today announced charges against Harvest Volatility Management LLC and Merrill Lynch, Pierce, Fenner ...
Merrill, Harvest Volatility Management Pay $9.3M to Settle SEC …
WEB2 days ago — Patrick Donachie | Sep 25, 2024. Merrill Lynch and Harvest Volatility Management will collectively pay $9.3 million to settle SEC charges that the firms pocketed excess fees when Harvest exceeded ...
BofA’s Merrill, Harvest Volatility Settle SEC Charges Over Risk
WEB2 days ago — A division of Bank of America Corp. and Harvest Volatility Management LLC agreed to pay a combined $9.3 million to settle US Securities and Exchange Commission allegations that the firms exceeded clients’ investment limits, resulting in higher fees and losses, as they nudged clients into complex options-trading strategies. Over a two-year ...
Merrill Lynch and Harvest Volatility paying $9.3 million in fines …
WEB2 days ago — The Securities and Exchange Commission said Wednesday that Bank of America Corp.'s (BAC) Merrill Lynch and derivatives specialist Harvest Volatility Management LLC agreed to pay a combined $9.3 ...
Merrill, Harvest to pay $9.3M for breaching limits on options …
WEB3 days ago — By Leo Almazora. Merrill Lynch and Harvest Volatility Management have agreed to pay a combined $9.3 million in penalties and disgorgement following charges that they exceeded client investment ...
Merrill to Pay $3.8M Over Excessive Fees, Risks in Options Strategy
WEB2 days ago — Harvest and Merrill have agreed to pay a combined $9.3 million in penalties and disgorgement. The Securities and Exchange Commission said Wednesday that it has charged Harvest Volatility ...
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