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July 29, 2026

Securities and Exchange Commission (SEC) fines Merrill Lynch $7.5 Million

July 29, 2026
On June 29th, 2026,” The Securities and Exchange Commission today announced settled charges against registered broker-dealer Merrill Lynch, Pierce, Fenner & Smith Incorporated for failing to file numerous Suspicious Activity Reports (SARs) from April 2020 through September 2024 in violation of broker-dealer reporting and recordkeeping requirements. Merrill agreed to pay a $7.5 million civil penalty...
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ComplianceAid BSA AML Services LLC

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contact@complianceaid.pro

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