Defendant Name:
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Defendant Type:
Subsidiary of Public Company
Document Reference:
LR-21457
Document Details
Legal Case Name
SEC v. Merrill Lynch, Pierce, Fenner & Smith Incorporated
Document Name
Court Approves Modifications to Global Research Analyst Settlement
Document Date
19-Mar-2010
Document Format
Civil Proceeding
Case Number
03-cv-02941
Federal District Court
New York, Southern District of New York
Federal District Judge
William H. Pauley III
Allegation Type
Investment Advisers/Investment Companies
Document Summary
On March 19, 2010, the SEC published a litigation release announcing that the Honorable William H. Pauley issued an order approving modifications to the final judgments entered against Merrill Lynch, Pierce, Fenner & Smith Incorporated and the other firms covered by the Global Research Analyst Settlement.
Disgorgement & Penalty Information
Resolutions
Approving modifications to the final judgments entered against the twelve firms covered by the Global Research Analyst Settlement.
