Deep search
Rewards
Search
Copilot
Images
Videos
Maps
News
Shopping
More
Flights
Travel
Hotels
Real Estate
Notebook
Top stories
Sports
U.S.
2024 Election
Local
World
Science
Technology
Entertainment
Business
More
Politics
Any time
Past hour
Past 24 hours
Past 7 days
Past 30 days
Best match
Most recent
Merrill, Harvest Volatility
SEC charges Merrill Lynch, Harvest Volatility Management for ignoring client investment limits
They will pay a combined $9.3 million after the Securities and Exchange Commission charged them for exceeding clients' investment limits over a two-year period.
Merrill Lynch and Harvest Volatility paying $9.3 million in fines for derivatives trades
The U.S. Securities and Exchange Commission said Wednesday that Bank of America Corp.’s Merrill Lynch unit and derivatives specialist Harvest Volatility Management LLC agreed to pay a combined $9.3 million in penalties for allegedly exceeding clients’ designated investment limits on options trades.
Merrill Lynch, Harvest Volatility Management to Pay $9.3 Million to Settle SEC Charges
(Reuters) - Merrill Lynch, Pierce, Fenner & Smith Inc. and Harvest Volatility Management LLC have agreed to pay a combined $9.3 million to settle U.S. Securities and Exchange Commission charges related to investment limits and fees.
InvestmentNews
2d
Merrill, Harvest to pay $9.3M for breaching limits on options strategy
The firms will pay millions in penalties, disgorgement and interest for letting accounts go over designated exposure levels, ...
Think Advisor
2d
Merrill to Pay $3.8M Over Excessive Fees, Risks in Options Strategy
The Securities and Exchange Commission said Wednesday that it has charged Harvest Volatility Management LLC and Merrill Lynch ...
Advisor
4h
Advisers failed to enforce investment limits: SEC
The U.S. Securities and Exchange Commission (SEC) alleged that the firms violated the rules governing advisors in connection ...
Results that may be inaccessible to you are currently showing.
Hide inaccessible results
Trending now
'Harry Potter' star dies
Helene: How to help
High-end brothel plea
Promotes watch collection
Troops to leave some bases
NC dam failure ‘imminent’
Dow closes at record high
Producing doc on Diddy
Ending password-sharing
50/50 ball ownership suit
World's oldest cheese found
Killer gets life sentence
ICE: Convicts roaming free
Fed inflation gauge cools
ISR targets Hezbollah HQ
Fake Biden robocalls fine
Boxes to distribute Narcan
NY ballot appeal rejected
KY sues Express Scripts
Pleads not guilty
Bill to use birth control
Van Gogh paintings attacked
Urgent safety alert for 737s
US charges three Iranians
Meta hit with privacy fine
Diocese reaches settlement
Deposition in AI suit
Houthis attack US warships
Congressional Gold Medal
Feedback