Merrill Lynch Professional Clearing Corporation / Private Placements / Administrative Order / Fenner & Smith Incorporated / Merrill Lynch Protessional Clearing Corporation / f'LII1hcr co / Fe1u1er & Smith Incorporated / Many Merrill Lynch Funds / Smith Inc. / Respondents / Gearhart & Otis Inc. / Merrill Lynch / Bockius LLP / Alleged Misconduct Was Limited / Pierce / Bank of America Corporation / es Inc. / Merrill Lynch Alternative Investments / Clearing Co / Morgan / Lewis & Bockius LLP / /
Country
United States / /
Currency
USD / / /
Event
Reorganization / Business Partnership / / /
IndustryTerm
limited / owned subsidiaries / /
Organization
United States Securities and Exchange Commission / U.S. Securities and Exchange Commission / SECURITIES AND EXCHANGE COMMISSION WASHINGTON / D.C. / office of Small Business Policy Division / /
Person
Amy Natterso / Amy Natterson Kroll / Washington Wilmington / Sebastian Gomez Abero / Sebastian Gomez Abero June / / /
Position
counsel / actor / U.S. broker dealer / manager / manager to certain proprietary domestic Funds / independent consultant / manager / sponsor / qualified independent consultant / solicitor / investment adviser / Private / /