Epstein File EFTA01374035: Stephen Lynch and Lynch (DS10)

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⚡IMPACT LEVEL 3 — NOTEWORTHY

Epstein File EFTA01374035: Stephen Lynch and Lynch (DS10)

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Document references regulatory action against Merrill Lynch involving an order censuring the firm for actions related to Auction Rate Securities (ARS). The document indicates Merrill Lynch agreed to purchase failed ARS at par from eligible investors and refund certain refinancing fees to municipal issuers for issuance or refinancing matters.

👤 Named in This Document

Stephen Lynch

🔑 Evidence Keywords

📋 Key Excerpts3

PersonKeyword

Excerpt 1

Uniform Securities Act and to the MSD entering an order censuring Merrill **Lynch** for its actions associated with the matter.

Excerpt 2

Merrill **Lynch** offered to purchase at par from eligible investors certain ARS that failed at auction.

Excerpt 3

Furthermore, Merrill **Lynch** agreed to refund to municipal issuers certain refinancing fees received by Merrill **Lynch** for the issuance or refinancing of