SEC
Whistleblower
Attorneys

December 21, 2017

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Financial Fraud

SANCTION AMOUNT: $13000000

Defendants: Merrill Lynch, Pierce, Fenner & Smith Incorporated

Settlement of allegations that Respondent failed to file and timely file a number of Suspicious Activity Reports (SARs) as a result of not having appropriate anti-money laundering policies and procedures.

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