EFTA Document EFTA01374036

AGP LP 519 Alpha Group Caudal Paul Barrett those trades with traders on a Merrill Lynch securities proprietary trading desk. The 2011 Order found that, at times, Merrill Lynch's securities proprietary traders used that information to place trades for Merrill Lynch after execution of the institutional customer order. The 2011 Order found that this disclosure and use of institutional customer order information by Merrill Lynch's traders was improper and contrary to Merrill Lynch's confidentia