Violation Tracker Individual Record
Company:Merrill Lynch, Pierce, Fenner & Smith Inc.
Date:March 11, 2009
Primary Offense:investor protection violation
Merrill Lynch, Pierce, Fenner & Smith Inc. agreed to pay $7 million to settle allegations of having inadequate policies and procedures for controlling access to institutional customer order flow.
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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