Violation Tracker Individual Record
Company:Banc of America Securities LLC
Date:March 10, 2004
Primary Offense:securities issuance or trading violation
Banc of America Securities LLC agreed to pay $10 million to settle alleged violations of the recordkeeping and access requirements of the securities laws.
Level of Government:federal
Action Type:agency action
Agency:Securities and Exchange Commission
Civil or Criminal Case:civil
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
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