ERC721

Merrill Lynch, Pierce, Fenner & Smith Incorporated agreed to pay a total of approximately $4 million in restitution to customers who incurred excess fees on their investments in 529 savings plans based on the firm's failures to reasonably supervise 529 plan share-class recommendations. For more info visit https://www.finra.org/media-center/newsreleases/2019/finra-orders-merrill-lynch-pierce-fenner-smith-raymond-james

Name

73

Owner

0x32613943243860edd1A054283ca8a48c2A82eC41

ID#73

Rarity

X-LO:98%

Parent Company

Bank of America

X-HI:10%

Company

Merrill Lynch, Pierce, Fenner & Smith Inc.

EX:1%

Violation

Defrauding Investors

HI:19%

Penalty

$4,000,000.00

EX:1%

Year

2019