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.
The firms will pay millions in penalties, disgorgement and interest for letting accounts go over designated exposure levels, ...
The Securities and Exchange Commission said Wednesday that it has charged Harvest Volatility Management LLC and Merrill Lynch ...
The stock market’s unrelenting rally this year has claimed its share of celebrity bears, the best known being JPMorgan Chase ...
Merrill Lynch Wealth Management’s D.C. team has moved in with its parent, so to speak.
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