{"id":1571,"date":"2014-12-29T17:40:50","date_gmt":"2014-12-29T17:40:50","guid":{"rendered":"https:\/\/www.stockbrokerfraudblog.com\/2014\/12\/financial_firm_news_nh_regulat"},"modified":"2022-03-11T08:59:45","modified_gmt":"2022-03-11T14:59:45","slug":"financial-firm-news-nh-regulat","status":"publish","type":"post","link":"https:\/\/www.investorlawyers.com\/blog\/financial-firm-news-nh-regulat\/","title":{"rendered":"Financial Firm News: NH Regulator Fines Merrill Lynch $400K for Telemarketing Compliance Shortfalls, Court Orders Vasquez Global Investments to Pay More Than $1.3M for Commodity Pool Fraud, and FINRA Sanctions Monex Securities Inc."},"content":{"rendered":"

\t\t\t\tNew Hampshire Says Merrill Lynch Must Pay $400,000 For Not Complying with Telemarketing Rules<\/strong><\/p>\n

Bank of America (BAC) <\/a>Merrill Lynch <\/a>has consented to pay $400,000 to resolve claims made by the New Hampshire Bureau of Securities Regulation accusing the firm of improperly soliciting business when it called people who were on do-not-call lists and were not clients. As part of the deal, Merrill Lynch will improve its telemarketing procedures and policies. A spokesperson for the brokerage firm says it has already enhanced internal controls to avoid making inappropriate calls moving forward.<\/p>\n

According to the regulator, not only did the broker-dealer fail to fully comprehend how to comply with the state’s rules for telemarketing but also the firm did not reasonably supervise its agents’ telemarketing activities in New Hampshire.<\/p>\n

Continue Reading \u203a<\/a><\/div>\n","protected":false},"excerpt":{"rendered":"

New Hampshire Says Merrill Lynch Must Pay $400,000 For Not Complying with Telemarketing Rules Bank of America (BAC) Merrill Lynch has consented to pay $400,000 to resolve claims made by the New Hampshire Bureau of Securities Regulation accusing the firm of improperly soliciting business when it called people who were on do-not-call lists and were […]<\/p>\n","protected":false},"author":2,"featured_media":0,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"jetpack_post_was_ever_published":false,"footnotes":""},"categories":[3751,3752,3739,3800,3741],"tags":[2533,2667,3093,3484,3005],"class_list":["post-1571","post","type-post","status-publish","format-standard","hentry","category-bank-of-america","category-financial-firms","category-finra","category-merrill-lynch","category-securities-fraud","tag-finra","tag-inadequate-supervision","tag-merrill-lynch","tag-monex","tag-securities-fraud"],"yoast_head":"\nFinancial Firm News: Merrill 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