Merrill Lynch 和 Harvest 以超出客户限额的 $9.3M 与 SEC 达成和解，导致费用和损失增加。 Merrill Lynch and Harvest settle with SEC for $9.3M over exceeding client limits, resulting in increased fees and losses.
美林证券和 Harvest Volatility Management 已与 SEC 达成和解，同意在两年内为超出客户投资限额支付总计 930 万美元，这导致客户的费用增加和损失。 Merrill Lynch and Harvest Volatility Management have settled with the SEC, agreeing to pay a total of $9.3 million for exceeding client investment limits over two years, which led to increased fees and losses for clients. Harvest 将支付 200 万美元的罚款和 350 万美元的追缴费，而美林证券将支付 100 万美元的罚款和 280 万美元的追缴费。 Harvest will pay $2 million in penalties and $3.5 million in disgorgement, while Merrill Lynch will contribute $1 million in penalties and $2.8 million in disgorgement. 两家公司都没有承认错失行为。 Both firms did not admit wrongdoing.