SEC, Wells Fargo and Merrill
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 Advisors Financial Network agreed to pay $7 million, and Merrill Lynch, Pierce, Fenner & Smith agreed to pay $25 million.
Bank of America Corp (NYSE:BAC) and its subsidiary Merrill Lynch, Pierce, Fenner & Smith Inc. disclosed recent transactions ...
Bank of America’s brokerage unit reported strong growth, as did the company’s private bank, as executives are emphasizing ...
Executives say the Bank of America subsidiary likely benefited from clients in 2023 seeking a safe harbor from teetering ...
In the enforcement actions announced Friday, the regulator said the two firms agreed to settle the charges without admitting ...
In the case of Morgan Stanley, the wirehouse wants its financial advisors to increase their banking relationships with ...
Investment adviser units of Wells Fargo & Co. and Bank of America Corp.’s Merrill shortchanged customers by funneling ...
Merrill Lynch and Morgan Stanley executives on Thursday discussed plans to further tap in-house banking services in their ...
The operator of the New York Stock Exchange and owner of Black Knight announced plans in December for a new Mortgage ...
When the Federal Reserve started raising its benchmark rates in 2022, banks kept paying very little on sweep accounts. That ...
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