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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
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
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
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
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
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 (7)
Entities connected to both Springfield and the Massachusetts Uniform Securities Act
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 Office of the Secretary
ORGANIZATION3 w/ Springfield·5 w/ the
The Massachusetts Securities Division of
ORGANIZATION3 w/ Springfield·5 w/ the
Merrill Lynch
ORGANIZATION3 w/ Springfield·3 w/ the
Wealth Management'
ORGANIZATION2 w/ Springfield·2 w/ the