ERC721

The Financial Industry Regulatory Authority fined Merrill Lynch, Pierce, Fenner & Smith Incorporated $1.4 million for failing to establish a reasonable supervisory system and procedures to identify and evaluate extended settlement transactions, and for related rule violations. For more info visit https://www.finra.org/media-center/news-releases/2017/finra-fines-merrill-lynch-14-million-deficiencies-related-extended

Name

713

Owner

0xa4711c27924A900625BDa3C63dC1eb86B44C48A6

ID#713

Rarity

X-LO:93%

Parent Company

Bank of America

X-HI:10%

Company

Merrill Lynch, Pierce, Fenner & Smith Incorporated

EX:1%

Violation

Financial Market Violations

X-HI:14%

Penalty

$1,400,000.00

EX:MAX

Year

2017