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.
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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 ...
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