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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
9h
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 ...
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