Violation Tracker Individual Record
Date:August 26, 2014
Primary Offense:financial institution supervision failures
The U.S. Commodity Futures Trading Commission settled Merrill Lynch for failing to diligently supervise the processing of futures exchange and clearing fees charged to its customers.
Level of Government:federal
Action Type:agency action
Agency:Commodity Futures Trading 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
Source of Data:
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