SEC Charges Merrill Lynch and Harvest Volatility Management for ...
WEB2 days ago · The Securities and Exchange Commission today announced charges against Harvest Volatility Management LLC and Merrill Lynch, Pierce, Fenner & Smith Inc. for exceeding clients’ designated investment limits over a two-year period beginning in March 2016, which resulted in clients paying higher fees, being subjected to …
SEC charges Merrill Lynch, Harvest Volatility Management for …
WEB2 days ago · The 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...
Merrill Lynch and Harvest Volatility paying $9.3 million in fines for ...
WEB2 days ago · 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...
Merrill Lynch, Harvest Volatility Management to Pay $9.3 Million to ...
WEB2 days ago · (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...
BofA’s Merrill, Harvest Volatility Settle SEC Charges Over Risk
WEB1 day ago · A division of Bank of America Corp. and Harvest Volatility Management LLC agreed to pay a combined $9.3 million to settle US Securities and Exchange Commission allegations that the firms exceeded clients’ investment limits, resulting in higher fees and losses, as they nudged clients into complex options-trading strategies.
SEC Charges Merrill Lynch and Harvest Volatility Management for ...
WEB2 days ago · The Securities and Exchange Commission today announced charges against Harvest Volatility Management LLC and Merrill Lynch, Pierce, Fenner& Smith Inc. for exceeding clients’ designated ...
Merrill, Harvest Volatility Management Pay $9.3M to Settle SEC …
WEB2 days ago · Merrill Lynch and Harvest Volatility Management will collectively pay $9.3 million to settle SEC charges that the firms pocketed excess fees when Harvest exceeded clients’ “designated...
Merrill, Harvest to pay $9.3M for breaching limits on options strategy
WEB2 days ago · Merrill Lynch and Harvest Volatility Management have agreed to pay a combined $9.3 million in penalties and disgorgement following charges that they exceeded client investment limits on a...
Merill Lynch, Harvest Volatility Management To Pay $9.3 Mln To …
WEB2 days ago · The Securities and Exchange Commission, Wednesday announced charges against Harvest Volatility Management LLC and Merrill Lynch, Pierce, Fenner & Smith Inc., owned by Bank of America Corp. (BAC), for exceeding clients' designated investment limits over a two-year period.
US investment firms agree settlement over derivatives failures
WEB1 day ago · Merrill, the Bank of America subsidiary previously known as Merrill Lynch, and Harvest Volatility Management have been fined a combined total of USD 9.3 million by the US Securities and Exchange Commission (SEC) for their role in improper derivatives trading practices.
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