Violation Tracker Individual Record
Company:Merrill Lynch, Pierce, Fenner & Smith Incorporated
Date:May 31, 2006
Primary Offense:investor protection violation
The Securities and Exchange Commission announced the settlement of proceedings against 15 broker-dealer firms for engaging in violative practices in the auction rate securities market.
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
Source of Data:
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