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BNY Mellon to pay $54M for improper handling of ADRs
By Jaclyn Jaeger2018-12-18T14:45:00
The Securities and Exchange Commission on Dec. 17 announced that Bank of New York Mellon will pay more than $54 million to settle charges of improper handling of “pre-released” American Depositary Receipts.
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Cantor Fitzgerald, BMO Capital to pay $4.5M for mishandling ADRs
2019-08-19T14:42:00Z By Jaclyn Jaeger
Brokers Cantor Fitzgerald and BMO Capital Markets will combine to pay more than $4.5 million to settle charges of improper handling of “pre-released” American Depositary Receipts.
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Merrill Lynch to pay $8M for improper handling of ADRs
2019-03-25T21:49:00Z By Jaclyn Jaeger
The Securities and Exchange Commission on March 22 announced that Merrill Lynch, Pierce, Fenner & Smith will pay over $8 million to settle charges of improper handling of “pre-released” American Depositary Receipts.
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JPMorgan to pay $135M for improper handling of ADRs
2018-12-27T11:45:00Z By Jaclyn Jaeger
The Securities and Exchange Commission on Wednesday announced JPMorgan Chase Bank will pay more than $135 million to settle charges of improper handling of “pre-released” American Depositary Receipts.
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