Fulcrum Enterprises, LLC v. Bank of America, N.A. et al, No. 4:2013cv01930 - Document 23 (S.D. Tex. 2014) case opinion from the Southern District of Texas US Federal District Court.
Dec 3, 2014 ... ... Rule 206(4)-3 thereunder if any investment adviser that is required to be registered pursuant to Section 203 of the Advisers Act pays to Bank of America, N.A. ("BANA"), Merrill Lynch, Pierce, Fenner & Smith Incorporated ("Merrill Lynch, " successor by merger to Banc of America Securities LLC) (collectively, ...