SEC Charges Merrill Lynch and Parent Company for Failing to File Suspicious Activity Reports
- Written by Newsfile
Washington, D.C.--(Newsfile Corp. - July 11, 2023) - The Securities and Exchange Commission today announced charges against Merrill Lynch, Pierce, Fenner & Smith Incorporated and its parent company BAC North America Holding Co. (BACNAH) for failing to file hundreds of Suspicious Activity Reports (SARs) from 2009 to late 2019. Merrill...