Defendant Name: Michael A. Callaway

Defendant Type: Individual

Initial Case Details

Legal Case Name In the Matter of Michael A. Callaway
First Document Date 30-Jan-2009
Initial Filing Format Administrative Action
File Number 3-13356
Allegation Type Investment Advisers/Investment Companies

Affiliations

Violations Alleged

Related Violations Alleged

Michael A. Callaway is alleged to have aided and abetted Merrill Lynch, Pierce, Fenner & Smith Incorporated's violation of Section 206(2) Advisers Act (willfully/knowingly).
Michael A. Callaway is alleged to have caused Merrill Lynch, Pierce, Fenner & Smith Incorporated's violation of Section 206(2) Advisers Act (willfully/knowingly).

Resolutions

First Resolution Date 08-Jun-2009
Headline Total Penalty and Disgorgement $20,000

Related Documents:

IA-2833-o 30-Jan-2009 Administrative Proceeding
Order Instituting Administrative Cease-and-Desist Proceedings Pursuant to Sections 203(f) and 203(k) of the Investment Advisers Act of 1940 and Section 15(b)(6) of the Securities Exchange Act of 1934
34-60071 08-Jun-2009 Administrative Proceeding
Order Making Findings and Imposing Remedial Sanctions Pursuant to Section 15(b)(6) of the Securities Exchange Act of 1934 and Sections 203(f) and 203(k) of the Investment Advisers Act of 1940 and Imposing a Cease-and-Desist Order

Related Actions:

In the Matter of Merrill Lynch, Pierce, Fenner & Smith Inc.
Merrill Lynch, Pierce, Fenner & Smith, Inc.
In the Matter of Jeffrey Swanson
Jeffrey Swanson