Violation Tracker Individual Record
Company:Merrill Lynch, Pierce, Fenner & Smith Inc.
Date:September 10, 2013
Offense Group:financial offenses
Primary Offense:investor protection violation
Level of Government:state
Action Type:agency action
Agency:District of Columbia Department of Insurance, Securities and Banking
Civil or Criminal Case:civil
Facility State:District of Columbia
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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