Regulation
SEC, CFTC Fine 11 Financial Firms Nearly $2 Billion for Recordkeeping Failures
The regulators say the violations impeded their ability to conduct investigations.
Tag: Merrill Lynch
Newsmakers
Stock Loan Tiff: 4 Allocators’ Case Against Wall Street Firms Advances
Plans for Iowa, Los Angeles County and two other California counties seek class action standing against Goldman and four others.
Trade War Could Trim Economic Growth, Study Says
It also risks pushing the US and the world into a recession, BofA Merrill warns.
SEC Charges Merrill Lynch for Failure to Supervise RMBS Traders
Firm ordered to pay nearly $16 million for ‘deceiving’ customers.