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twitterFirm to pay $10 million to settle NYSE allegations
Wednesday, March 16, 2005 | 9:13 a.m.
Merrill Lynch & Co., the world's biggest securities firm, agreed to pay the New York Stock Exchange $10 million to settle claims that include failing to ensure brokers were properly registered and not retaining e-mails.
Merrill, based in New York, disclosed the payment in the annual report it filed today with the Securities and Exchange Commission. Without admitting or denying the claims, Merrill said the payment also addresses failing to deliver prospectuses for open-end mutual funds and product descriptions of certain exchange traded funds, and late reporting of events such as customer complaints and arbitrations.
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