Merrill Lynch Pierce Fenner & Smith Incorporated fined
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• FINRA Fines Merrill Lynch $1.4 Million – Supervisory Issues

  

  December 19, 2017 Comments (0) Blog, Current Investigations

  FINRA says Merrill Lynch Deficiencies Related to Extended Settlement Transactions According to the Financial Industry Regulatory Authority (FINRA), the regulator has fined Merrill Lynch, Pierce, Fenner & Smith Incorporated $1.4 million. The company reportedly failed to establish a reasonable supervisory system

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• Merrill Lynch Pierce Fenner & Smith Incorporated Fined and Censured

  

  August 7, 2017 Comments (0) Blog, Current Investigations, Securities Fraud

  FINRA Fines Merrill Lynch Pierce Fenner & Smith Incorporated for Compliance Issues According to FINRA, on May 16, 2017, Merrill Lynch Pierce Fenner & Smith Incorporated (CRD #7691, New York, New York) was issued an AWC in which the firm was censured; fined $650,000; ordered to pay $124,128.30, plus interest,

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