SEC
Whistleblower
Attorneys

March 08, 2018

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Trading and Pricing

SANCTION AMOUNT: $1404000

Defendants: Merrill Lynch, Pierce, Fenner & Smith Incorporated

Respondent firm agreed to settle charges that it failed to perform required gatekeeping functions in the unregistered sales of securities on behalf of a China-based issuer, Longtop Financial Technological Limited, and its affiliates.

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