ERC721

The Financial Industry Regulatory Authority fined Merrill Lynch, Pierce, Fenner & Smith Inc., $1 million for supervisory failures that allowed a registered representative at Merrill Lynch's branch office in San Antonio, Texas, to use a Merrill Lynch account to operate a Ponzi scheme. For more info visit https://www.businesswire.com/news/home/20111004006254/en/FINRA-Fines-Merrill-Lynch-1-Million-for-Supervisory-Failures-That-Allowed-a-Registered-Representative-to-Operate-a-Ponzi-Scheme

Name

1323

Owner

0x9142Fc08BB623c9ae9176d6bdfdBB52a494ccA9E

ID#1323

Rarity

X-LO:MIN

Parent Company

Bank of America

X-HI:10%

Company

Merrill Lynch, Pierce, Fenner & Smith Inc.

EX:1%

Violation

Defrauding Investors

HI:19%

Penalty

$1,000,000.00

EX:2%

Year

2011