AGGRESSIVE ADVOCACY. UNPARALLELED SERVICE.

Home > Blog > FINRA Discipline > Merrill Lynch, Pierce, Fenner & Smith Incorporated | FINRA Disciplinary Action

Merrill Lynch, Pierce, Fenner & Smith Incorporated | FINRA Disciplinary Action

Girard Bengali

March 30, 2021

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2013038684001 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, Respondent Merrill Lynch, Pierce, Fenner & Smith Incorporated (Merrill or the firm) submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

Case ID Number: 2013038684001