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sd-10-EFTA01386108Dept. of Justice

EFTA Document EFTA01386108

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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 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 secu

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Dept. of Justice
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sd-10-EFTA01386108
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