FINRA Disciplinary Actions Online

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Case ID Case Summary Document Type Firms/ Individuals Action Datesort ascending
Case ID 2008015701301 Case Summary FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2008015701301 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Merrill Lynch, Pierce, Fenner, & Smith incorporated, Respondent Member Firm (CRD No. 7691). Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Merrill Lynch, Pierce, Fenner, & Smith Incorporated ("Respondent" or "Merrill Lynch" or the "Firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for Document Type AWCs (Letters of Acceptance, Waiver, and Consent) Firms/ Individuals
MERRILL LYNCH, PIERCE, FENNER, & SMITH INCORPORATED
Action Date 08/18/2010