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d restitution of 4.3 million; States: 570.8 million plus $20 million credited from the SEC settlement 4. Date of Action: Dec. 22, 2008 Brought By. Securities and Exchange Commission (SEC). Massachusetts Securities Division, New York State Attorney General (NYAG) and other members of the North American Securities Administrators A
nvestigation costs of S200,000; Administrative payment of $700,000 3. Date of Action: May 4, 2011 Brought By: SEC, Internal Revenue Service (IRS), Dept. of Justice (DOJ), State Attorney General of 24 States UBS AG and UBS Financial Services Inc reached settlements with the SEC. the IRS, the DOJ and a gr
2 mentions1 same-page
Page ?Same page
nd restitution of 4.3 million; States: $70.8 minion plus $20 million credited from the SEC settlement 3. Date of Action: Dec. 22, 2008 Brought By: Securities and Exchange Commission (SEC), Massachusetts Securities Division, New York State Attorney General (NYAG) and other members of the North American Securities Administrators A
Investigation costs of $200,000; Administrative payment of $700,000 2. Date of Action: May 4.2011 Brought By: SEC, Internal Revenue Service (IRS), Dept. of Justice (DOJ), State Attorney General of 24 Stales UBS AG and UBS Financial Services Inc. reached settlements with the SEC, the IRS, the Dal and a g
2 mentions1 same-page
Page ?Same page
d restitution of 4.3 million; States: $70.8 million plus $20 million credited from the SEC settlement 4. Date of Action: Dec. 22, 2008 Brought By: Securities and Exchange Commission (SEC), Massachusetts Securities Division, New York State Attorney General (NYAG) and other members of the North American Securities Administrators A
nvestigation costs of 5200,000; Administrative payment of 5700,000 3. Date of Action: May 4, 2011 Brought By: SEC, Internal Revenue Service (IRS), Dept. of Justice (D08, State Attorney General of 24 States UBS AG and UBS Financial Services Inc. reached settlements with the SEC, the IRS, the DO1 and a gr
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2 mentions1 same-page
Page ?Same page
nd restitution of 4.3 million; States: $70.8 million plus $20 million credited from the SEC settlement 4. Date of Action: Dec. 22, 2008 &ought By: Securities and Exchange Commission (SEC), Massachusetts Securities Division, New York State Attorney General (NYAG) and other members of the North American Securities Administrators A
nvestigation costs of 5200,000; Administrative payment of 5700,000 3. Date of Action: May 4, 2011 Brought By: SEC, Internal Revenue Service (IRS), Dept. of Justice (DOA State Attorney General of 24 States UBS AG and UBS Financial Services Inc. reached settlements with the SEC, the IRS, the DOJ and a gro
2 mentions1 same-page
Page ?Same page
nd restitution of 4.3 million; States: $70.8 million plus $20 million credited from the SEC settlement 4. Date of Action: Dec. 22, 2008 &ought By: Securities and Exchange Commission (SEC), Massachusetts Securities Division, New York State Attorney General (NYAG) and other members of the North American Securities Administrators A
nvestigation costs of 5200,000; Administrative payment of 5700,000 3. Date of Action: May 4, 2011 Brought By: SEC, Internal Revenue Service (IRS), Dept. of Justice (D01), State Attorney General of 24 States UBS AG and UBS Financial Services Inc. reached settlements with the SEC, the IRS, the DOJ and a g
2 mentions1 same-page
Page ?Same page
nd restitution of 4.3 million; States: $70.8 million plus $20 million credited from the SEC settlement 4. Date of Action: Dec. 22, 2008 &ought By: Securities and Exchange Commission (SEC), Massachusetts Securities Division, New York State Attorney General (NYAG) and other members of the North American Securities Administrators A
nvestigation costs of 5200,000; Administrative payment of 5700,000 3. Date of Action: May 4, 2011 Brought By: SEC, Internal Revenue Service (IRS), Dept. of Justice (D01), State Attorney General of 24 States UBS AG and UBS Financial Services Inc. reached settlements with the SEC, the IRS, the D01 and a g
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Mutual Connections (160)
Entities connected to both the Securities and Exchange Commission and Dept. of
George W. Bush
PERSON213 w/ the·4 w/ Dept.
Jeffrey Epstein
PERSON184 w/ the·4 w/ Dept.
United States
LOCATION154 w/ the·9 w/ Dept.
Barack Obama
PERSON136 w/ the·2 w/ Dept.
Bloomberg L.P.
ORGANIZATION103 w/ the·2 w/ Dept.
Department of Justice
ORGANIZATION88 w/ the·5 w/ Dept.
Samantha Power
PERSON87 w/ the·6 w/ Dept.
Ghislaine Maxwell
PERSON57 w/ the·6 w/ Dept.
New York
LOCATION48 w/ the·3 w/ Dept.
Marc Rich
PERSON45 w/ the·4 w/ Dept.
JPMorgan Chase
ORGANIZATION44 w/ the·3 w/ Dept.
Federal Reserve
ORGANIZATION40 w/ the·7 w/ Dept.
U.S. Treasury
ORGANIZATION35 w/ the·2 w/ Dept.
the State of New York
LOCATION31 w/ the·2 w/ Dept.
New York State
LOCATION24 w/ the·6 w/ Dept.
New Zealand
LOCATION26 w/ the·2 w/ Dept.
JD
Jane Doe
PERSON24 w/ the·3 w/ Dept.
Norway
LOCATION22 w/ the·2 w/ Dept.
UBS AG
ORGANIZATION18 w/ the·5 w/ Dept.
Kenneth Marra
PERSON18 w/ the·3 w/ Dept.