Vermont to Receive $140,000 From Merrill Lynch and Agent for Unauthorized Actions
February 22, 2018
February 22, 2018
MONTPELIER, Vermont, Feb. 22 -- The Vermont Department of Financial Regulation (formerly the Department of Banking, Insurance, Securities & Health Care Administration) issued the following news release:
The State of Vermont will receive $140,000 from Merrill Lynch, Pierce, Fenner & Smith Incorporated (Merrill Lynch) and Lawrence K. Barber as a result of a Department of Financial Regulation investigation. Commissioner Michael S. Pieciak announced today that Merrill Lynch and . . .
The State of Vermont will receive $140,000 from Merrill Lynch, Pierce, Fenner & Smith Incorporated (Merrill Lynch) and Lawrence K. Barber as a result of a Department of Financial Regulation investigation. Commissioner Michael S. Pieciak announced today that Merrill Lynch and . . .