Violation Tracker Individual Record
Company:Merrill Lynch, Pierce, Fenner & Smith
Date:June 19, 2018
Primary Offense:investor protection violation
Merrill Lynch, Pierce, Fenner & Smith agreed to pay a $42 million penalty to resolve allegations that it misled customers about how it handled their orders.
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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