Merrill controversies
Controversies tied to this brand in public sources. A listing is not a finding of fault.
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2025
SEC harmed-investor distribution matter
The SEC published a harmed-investor distribution page concerning Merrill Lynch, Pierce, Fenner & Smith Incorporated. The supplied material does not provide sufficient detail to characterize the underlying conduct beyond the existence of the proceeding.
2024
SEC settlement involving investment limits and fees
Merrill Lynch and Harvest Volatility Management agreed to a combined $9.3 million settlement with the SEC concerning allegations related to investment limits and fees.