Wells Fargo firms, Merrill Lynch to pay $60 mln to settle SEC charges
The U.S. Securities and Exchange Commission (SEC) on Friday said a pair of Wells Fargo Advisory firms and Merrill Lynch have ...
Wells Fargo Firms, Merrill Lynch to Pay $60 Million to Settle SEC Charges
(Reuters) -Merrill Lynch and two Wells Fargo advisory firms have agreed to pay a combined $60 million in civil penalties to ...
Merrill Lynch Brings More Wealthy Clients to Its Fee-Based Advisory Program
Bank of America’s brokerage unit reported strong growth, as did the company’s private bank, as executives are emphasizing ...
Bank of America’s Merrill Wants to Serve More Ultrawealthy Clients. Here’s How.
The company is creating a new team of specialists to better connect advisors and their rich clients with other parts of Bank ...
Bank of America's Merrill puts focus on ultra-wealthy clients with new advisory group
Bank of America's Merrill has introduced an ultra-high-net-worth advisory group to enhance service for clients with ...
Bank of America and Merrill Lynch sell $65 in Nuveen fund shares
Bank of America Corp (NYSE:BAC) and its subsidiary Merrill Lynch, Pierce, Fenner & Smith Inc. disclosed recent transactions ...
Financial Planning2d
Merrill shrugs off decline in new households as an anomaly
Executives say the Bank of America subsidiary likely benefited from clients in 2023 seeking a safe harbor from teetering ...
Wells Fargo, Merrill Cash-Sweep Accounts Shortchanged Clients, SEC Alleges
Investment adviser units of Wells Fargo & Co. and Bank of America Corp.’s Merrill shortchanged customers by funneling ...
SEC Settles Charges Against Bank of America, Wells Fargo Units
The units charged by the SEC consented to the entry of orders without admitting or denying the SEC's findings. Wells Fargo Clearing Services agreed to pay a civil penalty of $28 million, Wells Fargo ...
Financial Advisor IQ1d
Merrill, Morgan Stanley Bank on Banking for Wealthy Clients
Merrill Lynch and Morgan Stanley executives on Thursday discussed plans to further tap in-house banking services in their ...
Wells Fargo and Bank of America Agree to Pay Combined $60 Million to Settle SEC Probe
In the enforcement actions announced Friday, the regulator said the two firms agreed to settle the charges without admitting ...
Bank of America and Merrill Lynch sell $9,328 in Nuveen Quality Municipal Income Fund shares
Bank of America Corp. (NYSE:BAC) and its subsidiary Merrill Lynch, Pierce, Fenner & Smith Inc. reported a recent transaction involving the Nuveen Quality Municipal Income Fund (NYSE:NAD). According to ...