Merrill Lynch

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Merrill Lynch will pay a $42 Million penalty to settle charges

20/06/2018(0)
The Securities and Exchange Commission charged Merrill Lynch, Pierce, Fenner & Smith with misleading customers about how it handled their orders. Merrill Lynch agreed to settle the charges, admit wrongdoing, ... Read More
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Merrill Lynch fined £34.5 million for failures under EMIR

24/10/2017(0)
Merrill Lynch International (MLI) has been fined £34,524,000 by the Financial Conduct Authority (FCA) for failing to report 68.5 million exchange traded derivative transactions between 12 February 2014 and ... Read More
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Merrill Lynch to pay millions for supervision failures

25/09/2017(0)
The U.S. Commodity Futures Trading Commission (CFTC) issued an Order filing and simultaneously settling charges against Merrill, Lynch, Pierce, Fenner & Smith Incorporated (Merrill Lynch), a registered Futures Commission ... Read More
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PwC to pay $1 Million to settle audit violations

03/08/2017(0)
The Public Company Accounting Oversight Board announced that it censured and imposed a $1 million civil penalty against PricewaterhouseCoopers LLP for violations in its examination and audit of Merrill ... Read More
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BofAML upgrade forecasts for British Pound v Euro and Dollar

03/05/2017(0)
Bank of America Merrill Lynch (BofAML) have told clients they are now confident enough on Pound Sterling to raise their forecast profile. Analysts had been expecting one final dip ... Read More
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SFC fined in total $15 million Merrill Lynch Far East and Merrill Lynch (Asia Pacific)

27/03/2017(0)
The Securities and Futures Commission (SFC) has resolved its concerns with Merrill Lynch Far East Limited (MLFE) and Merrill Lynch (Asia Pacific) Limited (MLAP) over internal control failures. Under the ... Read More
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ActivTrades signs HM Treasury Women in Finance Charter

23/03/2017(0)
ActivTrades is the first finance broker to sign the HM Treasury Women in Finance Charter, which supports gender diversity in the financial services industry. Created in March 2016, the ... Read More
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Merrill Lynch to its brokers: make at least two client referrals to avoid a cut in pay

08/12/2016(0)
Merrill Lynch will require its brokers to make at least two client referrals to other parts of parent Bank of America Corp. next year to avoid a cut in ... Read More
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FINRA Sanctions Merrill Lynch $7 Million

01/12/2016(0)
The Financial Industry Regulatory Authority (FINRA) announced today that it has fined Merrill Lynch, Pierce, Fenner & Smith Inc. $6.25 million and the firm will pay approximately $780,000 in ... Read More
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FINRA Fines Merrill Lynch $2.8 Million

19/10/2016(0)
The Financial Industry Regulatory Authority (FINRA) announced today that it has fined Merrill Lynch, Pierce, Fenner and Smith Inc. $2.8 million for systemic trade reporting, Order Audit Trail System ... Read More
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