merrill lynch lawsuit
Tag Archive

fiduciary rule September 4, 2018

Merrill Lynch Reverses Policy on Commission Based Accounts

Death of DOL’s Fiduciary Rule in March Leads to Merrill Lynch Policy Change

Read article

March 30, 2015

Merrill Lynch fined by State of Massachusetts over supervisory failures.

Merrill Lynch recently agreed to pay a $2.5 million fine in Massachusetts to settle

Read article

November 4, 2013

Merrill Lynch Fined $500,000 for "Failure to Supervise"

Massachusetts security regulators fine Merrill Lynch $500,000 for “failure to

Read article

October 4, 2011

“Supervisory Failures” Cost Merrill Lynch $1 Million

According to the Financial Industry Regulatory Authority (FINRA), “it has fined

Read article