July 11, 2023
The Securities and Exchange Commission (SEC) has announced charges against investment firm Merrill Lynch, Pierce, Fenner & Smith and its parent company BAC North America Holding Co. The charges, stemming from 2009 to 2019, are due to hundreds of Suspicious Activity Reports (SARs) not being filed, the SEC said in a Tuesday (July 11) press release. Merrill Lynch has agreed […]
