Violation Tracker Individual Record
Date:May 21, 2002
Primary Offense:investor protection violation
Merrill Lynch agreed to pay $100 million as part of the settlement of a case brought by the New York Attorney General alleging that its investment advice was tainted by conflicts of interest.
Level of Government:state
Action Type:agency action
Agency:New York Attorney General
Civil or Criminal Case:civil
Facility State:New York
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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