Deep search
Rewards
Search
Copilot
Images
Videos
Maps
News
Shopping
More
Flights
Travel
Hotels
Real Estate
Notebook
Top stories
Sports
U.S.
2024 Election
Local
World
Science
Technology
Entertainment
Business
More
Politics
Any time
Past hour
Past 24 hours
Past 7 days
Past 30 days
Best match
Most recent
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
6h
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 ...
Some results have been hidden because they may be inaccessible to you
Show inaccessible results
Trending now
IDF: Hezbollah leader killed
Helene: How to help
Houthis attack US warships
Congressional Gold Medal
Dow closes at record high
NC dam failure ‘imminent’
Haney sues Garcia
'Harry Potter' star dies
High-end brothel plea
ICE: Convicts roaming free
Van Gogh paintings attacked
Troops to leave some bases
NY ballot appeal rejected
Meta hit with privacy fine
Deposition in AI suit
Promotes watch collection
Diocese reaches settlement
Bill to use birth control
KY sues Express Scripts
Fed inflation gauge cools
US charges three Iranians
ISR targets Hezbollah HQ
Urgent safety alert for 737s
Ending password-sharing
50/50 ball ownership suit
Fake Biden robocalls fine
Producing doc on Diddy
Killer gets life sentence
Pleads not guilty
Boxes to distribute Narcan
Feedback