By
Jaclyn Jaeger2020-06-11T17:23:00
Merrill Lynch will pay more than $7.2 million in restitution and interest to customers who incurred unnecessary sales charges and paid excess fees in connection with mutual fund transactions, FINRA announced.
2023-04-04T16:32:00Z By Aaron Nicodemus
Merrill Lynch agreed to pay nearly $9.7 million as part of a settlement with the Securities and Exchange Commission addressing allegations the firm charged more than $4 million in undisclosed fees to clients.
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.
2018-06-19T15:15:00Z By Jaclyn Jaeger
The Securities and Exchange Commission on June 19 announced charges against Merrill Lynch for misleading customers about how it handled their orders. Merrill Lynch agreed to settle the charges, admit wrongdoing, and pay a $42 million civil penalty.
2025-11-24T22:23:00Z By Oscar Gonzalez
The dismissal of charges against SolarWinds for alleged cybersecurity lapses related to a 2020 Russian cyberattack in 2020 are the latest in a continuing pattern of leniency for corporations by the Trump administration.
2025-11-24T21:19:00Z By Jaclyn Jaeger
Since the start of the Trump Administration, the Department of Justice has been winding down a number of Foreign Corrupt Practices Act investigations with little public attention. This second article further explores how and why these FCPA matters have been closed.
2025-11-21T21:17:00Z By Oscar Gonzalez
The Consumer Financial Protection Bureau is reportedly transferring its enforcement caseload to the DOJ, one of multiple indicators telegraphing its eminent shutdown.
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