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The Massachusetts Securities Division of
ORGANIZATIONthe Massachusetts Uniform Securities Act
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Barrett S Merrill Lynch Wealth Management' 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 un
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
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
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
d pursuant to Section 15(b)(4) and Section 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 unet
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
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
rett S Merrill Lynch Wealth Management' 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 un
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 The Massachusetts Securities Division of and the Massachusetts Uniform Securities Act
the City of Springfield
LOCATION5 w/ The·5 w/ the
Paul Barrett
PERSON5 w/ The·5 w/ the
Commonwealth
ORGANIZATION5 w/ The·5 w/ the
the Office of the Secretary
ORGANIZATION5 w/ The·5 w/ the
Merrill Lynch
ORGANIZATION3 w/ The·3 w/ the
Springfield
LOCATION3 w/ The·3 w/ the
-ARS
ORGANIZATION2 w/ The·2 w/ the
Wealth Management'
ORGANIZATION2 w/ The·2 w/ the