Skip to search field Skip to main content

Official websites use .gov
A .gov website belongs to an official government organization in the United States.

Secure .gov websites use HTTPS
A lock () or https:// means you’ve safely connected to the .gov website. Share sensitive information only on official, secure websites.

Award Claim

In the Matter of Merrill Lynch, Pierce, Fenner & Smith Incorporated, and Merrill Lynch Professional Clearing Corporation

June 30, 2015

2015-063

In the Matter of Merrill Lynch, Pierce, Fenner & Smith Incorporated, and Merrill Lynch Professional Clearing Corporation
Administrative Proceeding File No.: 3-16567
Case Filed: June 1, 2015
Qualifying Judgment/Order: June 1, 2015

Last Reviewed or Updated: May 2, 2025

Rules & Regulations

Enforcement & Litigation

Compliance

In the Matter of Merrill Lynch, Pierce, Fenner & Smith Incorporated, and Merrill Lynch Professional Clearing Corporation

More in this Section

In the Matter of Merrill Lynch, Pierce, Fenner & Smith Incorporated, and Merrill Lynch Professional Clearing Corporation