Merrill Lynch
Sort by
2 items
-
CNBC - Business
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.2 hours ago -
MarketWatch - Business
Merrill Lynch and Harvest Volatility paying $9.3 million in fines for derivatives trades
Fines follow probe of Harvest’s Collateral Yield Enhancement Strategy (CYES).4 hours ago