Merrill Lynch, Pierce, Fenner & Smith Inc. and Harvest Volatility Management LLC have agreed to pay a combined $9.3 million ...

Merrill Lynch says it stopped steering clients toward Harvest Volatility Management’s options trading strategy and now urges ...

The U.S. Securities and Exchange Commission said Wednesday that Bank of America Corp.’s Merrill Lynch unit and derivatives ...

Merrill Lynch and Harvest Volatility Management have agreed to pay a combined $9.3M to settle SEC claims of exceeding client ...

The U.S. Securities and Exchange Commission charged Harvest Volatility Management and Merrill Lynch on Wednesday for ...

Merrill Lynch Wealth Management’s D.C. team has moved in with its parent, so to speak.

The stock market’s unrelenting rally this year has claimed its share of celebrity bears, the best known being JPMorgan Chase ...

Broker-dealer Merrill Lynch will pay $3.8 million to resolve the government's allegations that a third-party adviser invested more of its clients' money than they had specified, resulting in higher ...

The firms will pay millions in penalties, disgorgement and interest for letting accounts go over designated exposure levels, ...

Merrill Lynch will pay nearly $4 million to settle Securities and Exchange Commission allegations that the wirehouse failed ...

The two firms are in hot water over sales of Harvest’s “Iron Condor” strategy that resulted in $5 million in excess ...

Merrill Lynch will pay nearly $4 million to settle Securities and Exchange Commission allegations that the wirehouse failed to inform clients that a third-party asset manager exceeded Merrill clients' ...