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Document Mentions (5 shared documents)
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4 World Financial Center 250 Vesey Street, Fl New York, NY 10080 3. The Massachusetts Securities Division of the Office of the Secretary of the Commonwealth ("MSD") alleged violations of the Massachusetts Uniform Securities Act, which, in part, prohibits unethical or dishonest conduct or practices in th
Fl New York, NY 10080 3. The Massachusetts Securities Division of the Office of the Secretary of the Commonwealth ("MSD") alleged violations of the Massachusetts Uniform Securities Act, which, in part, prohibits unethical or dishonest conduct or practices in the securities business, concerning Merrill Lynch sale of auction rate sec
2 mentions1 same-page
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AGP LP 519 Alpha Group Capital Paul Barrett 3. The Massachusetts Securities Division of the Office of the Secretary of the Commonwealth ("MSD') alleged violations of the Massachusetts Uniform Securities Act ("Act") concerning Merrill's sale of auction rate securities issued by colla
roup Capital Paul Barrett 3. The Massachusetts Securities Division of the Office of the Secretary of the Commonwealth ("MSD') alleged violations of the Massachusetts Uniform Securities Act ("Act") concerning Merrill's sale of auction rate securities issued by collateral debt obligations (-ARS CDOs") to the City of Springfield, Massach
2 mentions1 same-page
Page ?Same page
ill Lynch pay a civil monetary penalty in the amount of $10 million. 4. The Massachusetts Securities Division of the Office of the Secretary of the Commonwealth CMSD") alleged violations of the Massachusetts Uniform Securities Act, which, in pad, prohibits unethical or dishonest conduct or practices in the
the amount of $10 million. 4. The Massachusetts Securities Division of the Office of the Secretary of the Commonwealth CMSD") alleged violations of the Massachusetts Uniform Securities Act, which, in pad, prohibits unethical or dishonest conduct or practices in the securities business, concerning Merrill Lynch sale of auction rate sec
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2 mentions1 same-page
Page ?Same page
AGP LP 519 Alpha Group Capital Paul Barrett 3. The Massachusetts Securities Division of the Office of the Secretary of the Commonwealth ("MSD') alleged violations of the Massachusetts Uniform Securities Act ("Act") concerning Merrill's sale of auction rate securities issued by colla
roup Capital Paul Barrett 3. The Massachusetts Securities Division of the Office of the Secretary of the Commonwealth ("MSD') alleged violations of the Massachusetts Uniform Securities Act ("Act") concerning Merrill's sale of auction rate securities issued by collateral debt obligations (-ARS CDOs") to the City of Springfield, Massach
2 mentions1 same-page
Page ?Same page
orld Financial Center 250 Vesey Street, Il thF1 New York, NY 10080 3. The Massachusetts Securities Division of the Office of the Secretary of the Commonwealth ("MSD") alleged violations of the Massachusetts Uniform Securities Act, which, in part, prohibits unethical or dishonest conduct or practices in th
thF1 New York, NY 10080 3. The Massachusetts Securities Division of the Office of the Secretary of the Commonwealth ("MSD") alleged violations of the Massachusetts Uniform Securities Act, which, in part, prohibits unethical or dishonest conduct or practices in the securities business, concerning Merrill Lynch sale of auction rate sec
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Mutual Connections (8)
Entities connected to both Commonwealth and the Massachusetts Uniform Securities Act
Springfield
LOCATION13 w/ Commonwealth·3 w/ the
The Massachusetts Securities Division of
ORGANIZATION5 w/ Commonwealth·5 w/ the
Paul Barrett
PERSON5 w/ Commonwealth·5 w/ the
the City of Springfield
LOCATION5 w/ Commonwealth·5 w/ the
the Office of the Secretary
ORGANIZATION5 w/ Commonwealth·5 w/ the
Merrill Lynch
ORGANIZATION3 w/ Commonwealth·3 w/ the
Wealth Management'
ORGANIZATION2 w/ Commonwealth·2 w/ the
-ARS
ORGANIZATION2 w/ Commonwealth·2 w/ the