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Merrill, Harvest Volatility Management
Merrill Lynch and Manager of Options Strategy Hit With $9.3 Million in Penalties
Merrill Lynch says it stopped steering clients toward Harvest Volatility Management’s options trading strategy and now urges investors to “unwind their positions” with the apparently defunct firm.
Merrill Lynch, Harvest Volatility Management to pay $9.3 million to settle SEC charges
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.
Merrill, Harvest Volatility Management Pay $9.3M to Settle SEC Charges Over Excess Fees
The two firms are in hot water over sales of Harvest’s “Iron Condor” strategy that resulted in $5 million in excess management fees and commissions.
1d
on MSN
Rally in equities has a lot of momentum behind them, says Merrill and Bank of America's Chris Hyzy
Chris Hyzy, Merrill & Bank of America Private Bank chief investment officer, joins 'Closing Bell' to discuss Hyzy's thoughts ...
InvestmentNews
18h
Merrill adds advisors managing over $1.5B in client assets
The firm's latest string of hires from Morgan Stanley and Wells Fargo, expand its profile in the California and Miami markets ...
3d
Merrill Lynch D.C. moves in with Bank of America on K Street
Merrill Lynch Wealth Management’s D.C. team has moved in with its parent, so to speak.
2d
Transparency notifications by Bank of America Corp.
Transparency notifications by Bank of America Corp. In accordance with article 14, § 1 of the law of 2 May 2007 on the disclosure of major holdings, Umicore was recently notified by: Bank of America ...
InvestmentNews
11d
Murder trial of star executive Michelle Avan delayed
The murder trial of the accused killer of Michelle Avan, the Merrill Lynch and Bank of America executive who died at her home ...
Benzinga.com
2d
Decoding Bank of America's Options Activity: What's the Big Picture?
Bank
of America
's consumer-facing lines of business include its network of branches and deposit-gathering operations, ...
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