Violation Tracker Individual Record
Company:Merrill Lynch, Pierce, Fenner & Smith, Inc.
Date:June 17, 2004
Offense Group:financial offenses
Primary Offense:investor protection violation
Level of Government:state
Action Type:agency action
Agency:Florida Office of Financial Regulation
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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