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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
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
2 mentions1 same-page
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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
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
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
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
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
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
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
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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Mutual Connections (8)
Entities connected to both the Massachusetts Uniform Securities Act and the City of Springfield
The Massachusetts Securities Division of
ORGANIZATION5 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