SEC
Whistleblower
Attorneys

August 20, 2018

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Offering Fraud

SANCTION AMOUNT: 8872724.81

Defendants: Merrill Lynch, Pierce, Fenner & Smith Incorporated

Merrill Lynch settled charges that it failed to disclose a conflict of interest arising out of its own business interests in deciding whether to continue to offer clients products managed by an outside third-party advisory firm.

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