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June 21, 2018
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Blog, Current Investigations
SEC Alleges Merrill Lynch Misled Customers According to a press announcement, the Securities and Exchange Commission has charged Merrill Lynch, Pierce, Fenner & Smith Inc. with misleading customers about how it handled their orders. The firm has agreed to settle the charges, admit wrongdoing, and pay a $42 million
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March 2, 2012
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Blog, Securities Fraud
There may still be time for investors who invested in the Lyon Capital Management VII or another collateralized loan obligation through Banc of America Securities (Merrill Lynch), or another registered brokerage firm during the sub-prime mortgage crisis in 2007-2008, to seek recovery of their investment losses.
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August 3, 2011
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Blog, Securities Fraud
The Financial Industry Regulatory Authority (FINRA) has fined Credit Suisse Securities (USA) LLC $4.5 million, and Merrill Lynch $3 million for misrepresenting delinquency data and inadequate supervision in connection with the issuance of residential subprime mortgage securitizations (RMBS). Issuers of subprime RMBS
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January 26, 2011
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Blog, Securities Fraud
Merrill Lynch recently agreed to pay a $10 million fine to settle civil securities fraud charges by regulators who accused the firm of misusing customers’ order data to make trades for its own account and for failing to disclose trading fees. The Securities and Exchange Commission announced the settlement with
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October 6, 2010
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Blog, Securities Fraud
FINRA recently today that it has ordered SunTrust Investment Services, Inc. of Atlanta, GA, to pay $1.44 million to resolve charges related to unsuitable unit investment trust (UIT), closed-end fund (CEF) and mutual fund transactions. Of that amount, $900,000 is a fine that includes nearly $224,000 in disgorgement of
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September 29, 2010
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Blog, Securities Fraud
Are you seeking to recover investment losses incurred as a result of the fraud or negligence of your financial professional or brokerage firm? The White Law Group may be able to help. The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities
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September 29, 2010
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Blog, Securities Fraud
Are you seeking to recover investment losses incurred as a result of the fraud or negligence of your financial professional or brokerage firm? The White Law Group may be able to help. The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities
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September 29, 2010
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Blog, Securities Fraud
Are you seeking to recover investment losses incurred as a result of the fraud or negligence of your financial professional or brokerage firm? The White Law Group may be able to help. The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities
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September 29, 2010
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Blog, Securities Fraud
Are you seeking to recover investment losses incurred as a result of the fraud or negligence of your financial professional or brokerage firm? The White Law Group may be able to help. The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities
Read More »
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September 29, 2010
Comments (0)
Blog, Securities Fraud
Are you seeking to recover investment losses incurred as a result of the fraud or negligence of your financial professional or brokerage firm? The White Law Group may be able to help. The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities
Read More »
