Merrill Lynch and Harvest Volatility Management have agreed to pay more than $9 million to settle allegations that they pushed clients’ investments in an options strategy past their stated limits, ...

Merrill Lynch and Harvest Volatility Management have agreed to pay a combined $9.3 million in penalties and disgorgement following charges that they exceeded client investment limits on a complex ...

Government regulators have ordered Merrill Lynch, Pierce, Fenner & Smith Inc. and Harvest Volatility Management to fork over $9.3 million in fines and disgorgement after accusing the firms of ...

Sept 25 (Reuters) - Merrill Lynch, Pierce, Fenner & Smith and Harvest Volatility Management have agreed to pay a combined $9.3 million to settle U.S. Securities and Exchange Commission charges related ...

Merrill is paying the SEC nearly $4 million over an investment plan that saw its clients become overconcentrated in a complicated options trading strategy. Processing Content The Securities and ...

Merrill Lynch has launched an investable index that the bank’s researchers say gives investors cleaner and more efficient access to US equity market volatility than products linked to the present ...