ERC721

The Financial Industry Regulatory Authority censured and fined Merrill Lynch, Pierce, Fenner & Smith Inc. $500,000 For supervisory failures that allowed widespread deficiencies in filing hundreds of required reports, including customer complaints, arbitration claims, and related U4 and U5 filings, and for its failure to file the required reports. For more info visit https://www.finra.org/media-center/news-releases/2012/finra-fines-merrill-lynch-500000-failing-file-required-reports

Name

1128

Owner

0x91ED1310bc8E36e5a90A996387E43e79fBbec88d

ID#1128

Rarity

X-LO:98%

Parent Company

Bank of America

X-HI:10%

Company

Merrill Lynch, Pierce, Fenner & Smith Inc.

EX:1%

Violation

Financial Market Violations

X-HI:14%

Penalty

$500,000.00

EX:1%

Year

2012