Defendant Name:
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Defendant Type:
Subsidiary of Public Company
Public Company Parent:
Bank of America Corporation
SIC Code:
6021
CUSIP:
06050510
Initial Case Details
Legal Case Name
In the Matter of Merrill Lynch, Pierce, Fenner & Smith Incorporated
First Document Date
12-Dec-2013
Initial Filing Format
Administrative Action
File Number
3-15642
Allegation Type
Securities Offering
Violations Alleged
•
Section 17(a)(1) Exchange Act; Rule 17a-3(a)(2) Exchange Act
Resolutions
First Resolution Date
12-Dec-2013