Violation Tracker Individual Record
: Merrill Lynch, Pierce, Fenner & Smith, Inc.
Current Parent Company
: Bank of America
Parent at the Time of the Penalty AnnouncementPenalty
to see this data field
: June 4, 2014
: financial offenses
: investor protection violation
: The Financial Industry Regulatory Authority censured and fined Barclays Capital Inc.; Goldman, Sachs & Co.; and Merrill Lynch, Pierce, Fenner & Smith, Inc., $1 million each for failing to provide complete and accurate information about trades performed by the firms and their customers, commonly known as blue sheet data, to FINRA, the SEC and other regulators.
Level of Government
: agency action
: Financial Industry Regulatory Authority
Civil or Criminal Case
HQ Country of Current Parent
HQ State of Current Parent
: North Carolina
Ownership Structure of Current Parent
: publicly traded
Major Industry of Current Parent
: financial services
Specific Industry of Current Parent
Source of Data
: (click here)
: FINRA is a securities industry self-regulatory body authorized by the federal government.
: If an online information source is not working, check the Violation Tracker Data Sources page
for an updated link.
Current parent company note
: Parent-subsidiary relationship is current as of the most recent revision listed in the Update Log