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Merrill Lynch, Pierce, Fenner & Smith Inc

Financial crime · Regulator action
TypeLegal entity[sources]
NameMerrill 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 formnot available[sources]
CountryUnited States of America[sources]
Statusnot available[sources]
Last changeLast processedFirst seen

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Data sources

US FINRA Enforcement Actions14,393

Firms and individuals that have faced FINRA disciplinary actions

United States of America · FINRA

US SEC Actions Due to Harmed Investors815

Enforcement actions against persons and firms that had harmed investors

United States of America · 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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FactsheetData sources
OpenSanctions · Find sanctions targets and persons of interest
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