Basic Search  |  Summaries  |  Advanced Search

Violation Tracker UK Individual Case

Company: Merrill Lynch International
Current Parent CompanyBank of America
Parent at the Time of the Penalty Announcement: Bank of America
Penalty: £13,285,900
Year: 2015
Date: 22 April, 2015
Offence Group: financial offences
Offence Type: investor protection violation
Violation Description: Merrill Lynch paid a £13.2 million fine in settlement of a finding by the FCA that the company incorrectly reported and failed to report transactions between 2007 and 2014.
Action Type: agency action
Settlement Type: settlement of FCA Decision
Agency: Financial Conduct Authority
HQ Country of Parent: United States
Ownership Structure of Parent: publicly traded
Major Industry of Parent: financial services
Specific Industry of Parent: banking
Source of Data(click here)