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Fugitive Former Merrill Lynch Advisor Indicted for Alleged $2.7 Million Fraud
Eakes was arrested May 20 in Jacksonville by FBI special agent Christine Windness. Eakes was previously a broker with Merrill Lynch from 2017 to 2018, and then launched GraySail Advisors ...
Compliance Week5d
SEC fines Wells Fargo $35M, Merrill Lynch $25M over improper cash sweeps
Wells Fargo and Merrill Lynch will pay $35 million and $25 million, respectively, to settle allegations by the Securities and ...
Ex-Merrill Banker Turned M&A Pro Caught Up in Insider Tips Case
An ex-Merrill Lynch banker turned in-house deals expert lost a ruling over whether a raid of his home in the Paris suburb of ...
InvestmentNews9d
SEC slams Wells Fargo, Merrill with $60 million in penalties over clients’ cash
“Wells Fargo Advisors and Merrill Lynch offered bank deposit sweep programs, or BDSPs, as the only cash sweep option for most ...
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 ...
Yahoo Finance9d
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 settle U.S. Securities and Exchange Commission charges over compliance ...