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Merrill Lynch, Pierce, Fenner & Smith Inc.

Financial crime · Regulator action

Merrill Lynch, Pierce, Fenner & Smith Inc. is an entity of interest. It has not been found on international sanctions lists.

Type	Legal entity				[sources]
Name	Merrill Lynch, Pierce Fenner & Smith Inc. · Merrill Lynch, Pierce, Fenner & Smith Inc · Merrill Lynch, Pierce, Fenner & Smith Inc. · Merrill, Lynch, Pierce, Fenner & Smith Inc.				[sources]
Legal form	not available				[sources]
Country	United States				[sources]
Status	not available				[sources]
Last change	2025-10-03	Last processed	2025-10-21	First seen	2024-03-28

Relationships

Data sources

US FINRA Enforcement Actions14,480

Firms and individuals that have faced FINRA disciplinary actions

United States · FINRA

US SEC Actions Due to Harmed Investors815

Enforcement actions against persons and firms that had harmed investors

United States · SEC

Source data IDs: us-sec-harm-merrill-lynch-pierce-fenner-smith-inc · us-finra-merrill-lynch-pierce-fenner-smith-inc

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