Epstein Secrets

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

to supervise. Disposition: Fine Fine: 595,000 7. Date of Action: April 28, 2003 — March 19, 2004 Entity: UBS Financial Services and affiliates Brought By. Secretary of State of 47 States and Washington Allegations: Violation of Securities Act regulations regarding research practices and conflicts o

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

to supervise. Disposition: Fine Fine: $95,000 7. Date of Action: April 28, 2003 — March 19, 2004 Entity: UBS Financial Services and affiliates Brought By: Secretary of State of 47 States and Washington M. Allegations: Violation of Securities Act regulations regarding research practices and conflict

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

to supervise. Disposition: Fine Fine: $95,000 7. Date of Action: April 28, 2003 — March 19, 2004 Entity: UBS Financial Services and affiliates Brought By: Secretary of State of 47 States and Washington D.C. Allegations: Violation of Securities Act regulations regarding research practices and confli

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

to supervise. Disposition: Fine Fine: $95,000 7. Date of Action: April 28, 2003 — March 19, 2004 Entity: UBS Financial Services and affiliates Brought By: Secretary of State of 47 States and Washington D.C. Allegations: Violation of Securities Act regulations regarding research practices and confli

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

to supervise. Disposition: Fine Fine: $95,000 7. Date of Action: April 28, 2003 — March 19, 2004 Entity: UBS Financial Services and affiliates Brought By: Secretary of State of 47 States and Washington M. Allegations: Violation of Securities Act regulations regarding research practices and conflict