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AGP LP 519 Alpha Group Capital Paul Barrett S Merrill Lynch Wealth Management' GWIM Alternative Investments 4 World Financial Center 250 Vesey Street, Fl New York, NY 10080 3. The Massachusetts Securit
om Merrill Lynch but are not considered eligible investors and are not entitled to participate in the ARS buyback under the terms of the settlement. Merrill Lynch's control affiliate BAS entered into similar consent orders with state securities regulators. CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDN
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
3 mentions1 same-page
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AGP LP 519 Alpha Group Capital Paul Barrett S Merrill Lynch Wealth Management' GWIM Alternative Investments 4 World Financial Center 250 Vesey Street, Il thF1 New York, NY 10080 3. The Massachusetts Sec
om Merrill Lynch but are not considered eligible investors and are not entitled to participate in the ARS buyback under the terms of the settlement. Merrill Lynch's control affiliate BAS entered into similar consent orders with state securities regulators. CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDN
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
2 mentions1 same-page
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priate sale of ARS CDOs to the city of Springfield. 5. Merrill Lynch entered into consent orders with numerous state securities regulators conceming Merrill Lynch's conduct in connection with the marketing and sale of auction rate securities CARS") to retail and other customers. Without admitting or denying the
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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Mutual Connections (7)
Entities connected to both Merrill Lynch and the Massachusetts Uniform Securities Act
Paul Barrett
PERSON6 w/ Merrill·5 w/ the
the City of Springfield
LOCATION3 w/ Merrill·5 w/ the
Commonwealth
ORGANIZATION3 w/ Merrill·5 w/ the
the Office of the Secretary
ORGANIZATION3 w/ Merrill·5 w/ the
The Massachusetts Securities Division of
ORGANIZATION3 w/ Merrill·5 w/ the
Springfield
LOCATION3 w/ Merrill·3 w/ the
Wealth Management'
ORGANIZATION2 w/ Merrill·2 w/ the