Deep search
Rewards
Search
Copilot
Images
Videos
Maps
News
Shopping
More
Flights
Travel
Hotels
Real Estate
Notebook
Top stories
Sports
U.S.
2024 Election
Local
World
Science
Technology
Entertainment
Business
More
Politics
Any time
Past hour
Past 24 hours
Past 7 days
Past 30 days
Best match
Most recent
Merrill, Harvest Volatility
Merrill Lynch and Harvest Volatility paying $9.3 million in fines for derivatives trades
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 $9.3 million in penalties for allegedly exceeding clients’ designated investment limits on options trades.
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.
SEC charges Merrill Lynch, Harvest Volatility Management for ignoring client investment limits
They will pay a combined $9.3 million after the Securities and Exchange Commission charged them for exceeding clients' investment limits over a two-year period.
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 ...
Financial Planning
2d
'Iron condor' options strategy costs Merrill $3.8M SEC penalty
Merrill and a partner firm were accused of running a complicated yield enhancement strategy, or CYES plan, of the type that ...
Results that may be inaccessible to you are currently showing.
Hide inaccessible results
Trending now
'Harry Potter' star dies
Helene: How to help
Promotes watch collection
Stadiums to serve as shelters
Pleads not guilty
Targeted Black residents?
World's oldest cheese found
Killer gets life sentence
50/50 ball ownership suit
Producing doc on Diddy
Farmers want flu vaccine
NC board removes 747K
Urgent safety alert for 737s
Chinese submarine sank
Fake Biden robocalls fine
Heads to US-Mexico border
Boxes to distribute Narcan
US charges three Iranians
Ending password-sharing
NIH finds misconduct
WI duplicate ballot flap
More executives leave
On Secret Service failures
Fed inflation gauge cools
ISR targets Hezbollah HQ
Feedback