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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
MSD entering an order censuring Merrill Lynch for its actions associated with the matter. On or about January 31, 2008, Merrill Lynch purchased from the City of Springfield the ARS CDOs at the par value of $13.9 million for losses associated with the inappropriate sale of ARS CDOs to the city of Springfield. 4. Merri
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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
sachusetts Uniform Securities Act ("Act") concerning Merrill's sale of auction rate securities issued by collateral debt obligations (-ARS CDOs") to the City of Springfield, Massachusetts ("City"). Without admitting or denying the MSD's allegations, Merrill agreed to certain undertakings, to cease and desist from viola
2 mentions1 same-page
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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
SD entering an order censuring Merrill Lynch for its actions associated with the matter. On or about January 31, 2008, Merrill Lynch purchased from the City of Springfield the ARS CDOs at the par value of $13.9 million for losses associated with the inappropriate sale of ARS CDOs to the city of Springfield. 5. Merrill
Sponsored
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
sachusetts Uniform Securities Act ("Act") concerning Merrill's sale of auction rate securities issued by collateral debt obligations (-ARS CDOs") to the City of Springfield, Massachusetts ("City"). Without admitting or denying the MSD's allegations, Merrill agreed to certain undertakings, to cease and desist from viola
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
MSD entering an order censuring Merrill Lynch for its actions associated with the matter. On or about January 31, 2008, Merrill Lynch purchased from the City of Springfield the ARS CDOs at the par value of $13.9 million for losses associated with the inappropriate sale of ARS CDOs to the city of Springfield. 4. Merri
Sponsored
Mutual Connections (8)
Entities connected to both Commonwealth and the City of Springfield
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 Massachusetts Uniform Securities Act
ORGANIZATION5 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