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Merrill Lynch
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October 01, 2024
Merrill Lynch Ordered by SEC to Pay $3.8 Million for Complex Trading Strategy's Excessive Fees & Risks
June 18, 2019
Patrick Foley Barred After Investigation into Accepting Loans from Elderly Client
June 14, 2019
Cryptocurrency Business Places Kyung Soo Kim in Hot Water
May 07, 2019
Michael ("Mikey") Tanha Cited for Outside Business Activities, Private Securities Transactions
May 04, 2019
Kajo Movsesian Barred After Review into Conduct Inconsistent with Merrill Lynch Standards
February 20, 2019
Disgraced Merrill Lynch Broker Thomas Buck Sentenced to 40 Months in Prison for Securities Fraud
November 14, 2018
Michael Scott Livermore Sanctioned for Failing to Report Felonies
August 22, 2018
Merrill Lynch to Pay $8.9 Million to SEC for Failing to Disclose Conflict of Interest
