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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 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 investment limits.
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 ...
4d
Merrill’s Former Market Expert Says This Is Different From 1999
The stock market’s unrelenting rally this year has claimed its share of celebrity bears, the best known being JPMorgan Chase ...
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.
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Harvest Volatility Management
Bank of America
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