Violation Tracker Individual Record
Company:Merrill, Lynch, Pierce, Fenner and Smith, Inc.
Date:August 10, 2010
Primary Offense:investor protection violation
Level of Government:state
Action Type:agency action
Agency:New Jersey Attorney General
Civil or Criminal Case:civil
Facility State:New Jersey
HQ Country of Parent:USA
HQ State of Parent:North Carolina
Ownership Structure of Parent:publicly traded
Major Industry of Parent:financial services
Specific Industry of Parent:banking
Source of Data:
Source Notes:If an online information source is not working, check the Violation Tracker Data Sources page for an updated link.