Defendant Name:
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Defendant Type:
Subsidiary of Public Company
Document Reference:
LR-18115
Document Details
Legal Case Name
SEC v. Merrill Lynch, Pierce, Fenner & Smith Incorporated
Document Name
SEC Sues Merrill Lynch and Henry M. Blodget for Research Analyst Conflicts of Interest; Firm and Blodget to Settle with SEC, NASD, and NYSE
Document Date
28-Apr-2003
Document Format
Civil Proceeding
Case Number
03-cv-02941
Federal District Court
New York, Southern District of New York
Allegation Type
Investment Advisers/Investment Companies
Disgorgement & Penalty Information
Resolutions
Enjoinment
Compliance Related Independent Consultant
Other Compliance Related Undertaking