Securities Fraud and Mismanagement

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SEC Action

Merrill Fined over ADRs

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...