All Bank of America Securities articles
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News BriefBank of America Securities avoids prosecution over market manipulation case
The DOJ announced Thursday that it has declined to prosecute Bank of America Securities over lapses related to a spoofing scheme conducted by two former employees that went on for almost seven years.
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News BriefFINRA dings Bank of America unit over notification lapses
The Financial Industry Regulatory Authority fined a Bank of America subsidiary $90,080 for filing untimely or inaccurate notifications related to security distributions and failing to adopt an adequate supervisory system.
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News BriefBank of America unit fined $24M in FINRA spoofing case
Bank of America Securities agreed to pay $24 million in settling with the Financial Industry Regulatory Authority for allegedly failing to supervise the “spoofing” activities of two former traders in U.S. Treasury markets.