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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.
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.
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.
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
1d
'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 ...
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