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the securities business, concerning Merrill Lynch sale of auction rate securities issued by collateral debt obligations ("ARS CDOs") to the city of Springfield, Massachusetts. Without admitting or denying the MSD's allegations, Merrill Lynch agreed to certain undertakings, to cease and desist from violation
ent' GWIM Alternative Investments 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 conduc
2 mentions1 same-page
Page ?Same page
n the securities business, concerning Merrill Lynch sale of auction rate securities issued by collateral debt obligations CARS CDOs") to the city of Springfield, Massachusetts. Without admitting or denying the MSD's allegations, Merrill Lynch agreed to certain undertakings, to cease and desist from violatio
n 21B of the Exchange Act that Merrill 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
2 mentions1 same-page
Page ?Same page
the securities business, concerning Merrill Lynch sale of auction rate securities issued by collateral debt obligations ("ARS CDOs") to the city of Springfield, Massachusetts. Without admitting or denying the MSD's allegations, Merrill Lynch agreed to certain undertakings, to cease and desist from violation
GWIM Alternative Investments 4 World 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 conduc
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Entities connected to both Springfield and the Office of the Secretary
Commonwealth
ORGANIZATION13 w/ Springfield·5 w/ the
the City of Springfield
LOCATION3 w/ Springfield·5 w/ the
Paul Barrett
PERSON3 w/ Springfield·5 w/ the
The Massachusetts Securities Division of
ORGANIZATION3 w/ Springfield·5 w/ the
the Massachusetts Uniform Securities Act
ORGANIZATION3 w/ Springfield·5 w/ the
Merrill Lynch
ORGANIZATION3 w/ Springfield·3 w/ the
Wealth Management'
ORGANIZATION2 w/ Springfield·2 w/ the