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 ...
NBC Los Angeles2d
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’ ...
Merrill Lynch, Harvest Volatility agree to pay $9.3M to resolve SEC charges
Merrill Lynch and Harvest Volatility Management have agreed to pay a combined $9.3M to settle SEC claims of exceeding client ...
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 ...
WealthManagement.com2d
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 ...
Merill Lynch, Harvest Volatility Management To Pay $9.3 Mln To SEC Over Investor Risk Violations
The Securities and Exchange Commission, Wednesday announced charges against Harvest Volatility Management LLC and Merrill Lynch, ...
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 ...
InvestmentNews2d
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, ...
Financial Advisor2d
SEC Orders Merrill Lynch, Harvest To Pay $9.3M For Options Strategy
Government regulators have ordered Merrill Lynch, Pierce, Fenner & Smith Inc. and Harvest Volatility Management to fork over $9.3 million in fines and disgorgement after accusing the firms of ...
Think Advisor2d
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 ...
BofA’s Merrill, Harvest Volatility Settle SEC Charges Over Risk
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 ...