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Merrill agrees to pay over $9.5 million to settle SEC charges over fee disclosures
Reuters via Yahoo Finance· 1 year agoNEW YORK (Reuters) -Bank of America's investment management unit has agreed to pay over $9.5 million...
Merrill Told to Pay $9.5M After Not Disclosing Fees
ETF.com via Yahoo Finance· 1 year agoThe brokerage firm Merrill Lynch Pierce Fenner & Smith, known now as Merrill, has agreed to pay disgorgement, prejudgment interest and a civil penalty...
BofA's Merrill, Wells Fargo offering spot bitcoin ETFs to clients
Reuters via Yahoo News· 4 months ago(Reuters) -Bank of America's Merrill Lynch and Wells Fargo have been offering spot bitcoin...
Bank of America's Merrill Lynch settles SEC charges over filing failures
Reuters via Yahoo Finance· 11 months agoWASHINGTON, July 11 (Reuters) - Bank of America Corp's Merrill Lynch has agreed to pay $12 million to settle charges by U.S. regulators that it failed to file hundreds of suspicious activity ...
Firm to pay $3M over SEC's 'cherry-picking' allegations
Financial Planning via Yahoo Finance· 9 months agoCredit: Bloomberg News A Connecticut-based financial advisor and his firm have agreed to pay more...
Fugitive Former Merrill Lynch Advisor Indicted for Alleged $2.7 Million Fraud
Barrons.com· 2 weeks agoJared Eakes, a former investment advisor, faces four criminal charges and a civil suit in connection...
SEC Approves Bitcoin ETF Proposals — For Real This Time. First Trading Day Closes.
Investor's Business Daily· 5 months agoThe SEC finally approved 11 spot bitcoin ETF applications late Wednesday. Trading launched Thursday....
After SEC lawsuit, former Jacksonville investment adviser charged with $2.7 million fraud
The Florida Times-Union via Yahoo Finance· 2 weeks agoA one-time Jacksonville investment adviser is facing fraud charges involving $2.7 million of...
Stealthy Crypto Hedge Fund Edge Capital Raises $66.8M for DeFi Bets
CoinDesk via Yahoo Finance· 2 years agoCrypto hedge fund Edge Capital Management, which has very little public information, has raised...
Wall Street hit with $1.8 billion in fines over staffers texting on personal devices
Yahoo Finance via AOL· 2 years agoBankers texting away on their personal phones are costing the biggest banks on Wall Street a chunk...