New Hampshire is ordering Merrill Lynch to pay $26.25 million in fines and restitution to settle allegations including unauthorized and excessive trading to the state and to an investor, the former Governor of New Hampshire, who claimed he suffered losses at the hands of a former Boston-based broker.

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Published on Dec. 7th, 2020 Published on Dec. 7th, 2020

Scenario: Internal Fraud / Unauthorized or Rogue Trading

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Sept. 20th, 2021

ORX Forum

ELSEWARE/MSTAR will be speaking on climate stress on operational risk at the ORX forum on September 23. In particular, we will be presenting the work we have done on this topic with the American Bankers Association and a group of banks.