As a subsidiary of Bank of America, Merrill uses a BofA software program to monitor and report suspicious activity. For years ...
The Securities and Exchange Commission says that the wealth management firm’s internal monitoring system failed to flag numerous transactions that should have produced suspicious activity reports.
Merrill Lynch, BofA's brokerage arm, hit with $7.5M SEC fine over missed suspicious activity reports
The SEC's order, issued Monday, found that Merrill Lynch, Pierce, Fenner & Smith Incorporated willfully violated Section 17(a ...
GlobalData on MSN
US regulator fines BofA’s wealth unit Merrill over SAR failures
The regulator said the broker-dealer did not meet reporting and recordkeeping obligations and agreed to a $7.5m civil penalty ...
The U.S. Securities and Exchange Commission said on Monday it fined Bank of America's Merrill Lynch unit $7.5 ...
Merrill Lynch unit has been fined $7.5M by the Securities and Exchange Commission over a failure to report suspicious ...
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SEC Fines Bank of America’s Merrill Lynch $7.5 Million Over Suspicious Activity Reporting Failures
Detailed price information for Bank of America Corp (BAC-N) from The Globe and Mail including charting and trades.
Bank of America Corp. agreed to pay $7.5 million to the Securities and Exchange Commission to settle allegations that its ...
The U.S. Securities and Exchange Commission charged Harvest Volatility Management and Merrill Lynch on Wednesday for exceeding clients' predesignated investment limits over a two-year period. The two ...
Merrill Lynch hires teams based in Florida, Iowa, and California from rivals Wells Fargo, Baird, and Morgan Stanley.
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