The industry's self-regulator fined James Iannazzo $50,000 and suspended him for two years for violating what one dissenting panel member said was a "catch-all" Finra rule.

The next-generation portfolio advisor is a fan of diversified investing, which means he’s no fan of the Magnificent ...

Merrill Lynch received initial approval for a nearly $20 million settlement over race bias claims brought by a class of Black ...

Both brokerage firms moved a customer’s uninvested cash from a brokerage account into an interest-bearing account, violating ...

The Financial Industry Regulatory Authority has suspended and fined a former Merrill Lynch financial advisor the wirehouse fired over allegations of unauthorized trading and other violations.

At this NYC advisory, preserving wealth takes precedence over hitting home runs. Firm: Merrill Private Wealth Management ...

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 Neuilly in connection with an insider trading probe was legal.In ...

Jan 17 (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 ...

Two Wells Fargo-affiliated investment advisers and Merrill Lynch agreed to pay $60 million, while LPL Financial agreed to pay $18 million.

According to the complaint filed in Arizona federal court, the firm’s cash sweep practices “violate common law, federal law ...

Bank of America’s wealth management division, which includes Merrill Lynch and the company’s private bank, saw core financial metrics rise in 2024, including net income of $4.3 billion ...