Securities Fraud and Mismanagement

Attorney and Counselor at Law

303-300-5022 / 844-253-5858 Toll Free

Did the actions/inactions of my broker fall below the required standard of care?

We’ll tell you, for FREE.

SEC Action

Merrill Fined over ADRs

by | Apr 16, 2019 | Uncategorized

The SEC on March 22, 2019 announced that Merrill Lynch, Pierce, Fenner & Smith Incorporated will be fined over $8 million to settle charges of improper handling of “pre-released” American Depositary Receipts, also known as ADRs. ADRs, which are U.S. securities...