ERC721

NASD has fined Merrill Lynch, Pierce, Fenner & Smith Inc. $5 Million for supervisory failures, registration violations, impermissible sales contests and other violations in connection with the operation of its Financial Advisory Center located in Hopewell, NJ and Jacksonville, FL. For more info visit https://www.finextra.com/pressarticle/8477/nasd-fines-merrill-lynch-5-million-for-call-centre-failings

Name

1022

Owner

0x0a690B298f84D12414F5c8dB7de1EcE5a4605877

ID#1022

Rarity

X-LO:99%

Parent Company

Bank of America

X-HI:10%

Company

Merrill Lynch, Pierce, Fenner & Smith Inc.

EX:1%

Violation

Defrauding Investors

HI:19%

Penalty

$5,000,000.00

EX:3%

Year

2006