Violation Tracker Individual Record
Company:Merrill Lynch & Pierce, Fenner & Smith Inc.
Date:April 1, 2010
Offense Group:financial offenses
Primary Offense:investor protection violation
Level of Government:state
Action Type:agency action
Agency:Arkansas Securities Department
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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