Back to Network
5
Shared Docs
5
Same-Page
5 / 5
Mentions
Document Mentions (5 shared documents)
2 mentions1 same-page
Page ?Same page
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
terminate cross-border business serving private clients out on non SEC registered entities. Disposition: Disgorgement ($200,000,000 is to the SEC); Back Taxes Payment, Monetary Sanctions: 5380,000,000; $400,000,000 14. Date of Action: January 2011 Disposition: SIX Swiss Exchange Regulation OBS AG was fined for
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
terminate cross-border business serving private clients out on non SEC registered entities. Disposition: Disgorgement ($200,000,000 is to the SEC); Back Taxes Payment, Monetary Sanctions: $380,000,000; 5400,000,000 16. Date of Action: December 2008 Brought By: Swiss Federal Banking Commission Allegations: The
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
terminate cross-border business serving private clients out on non SEC registered entities. Disposition: Disgorgement (5200,000,000 is to the SEC); Back Taxes Payment, Monetary Sanctions: 5380,000,000; 5400,000,000 16. Date of Action: December 2008 Brought By: Swiss Federal Banking Commission Allegations: The
Sponsored
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
terminate cross-border business serving private clients out on non SEC registered entities. Disposition: Disgorgement (5200,000,000 is to the SEC); Back Taxes Payment, Monetary Sanctions: 5380,000,000; 5400,000,000 16. Date of Action: December 2008 Brought By: Swiss Federal Banking Commission Allegations: The
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
terminate cross-border business serving private clients out on non SEC registered entities. Disposition: Disgorgement (5200,000,000 is to the SEC); Back Taxes Payment, Monetary Sanctions: 5380,000,000; 5400,000,000 16. Date of Action: December 2008 Brought By: Swiss Federal Banking Commission Allegations: The
Sponsored
Mutual Connections (130)
Entities connected to both the Securities and Exchange Commission and Back Taxes Payment
United States
LOCATION154 w/ the·4 w/ Back
Department of Justice
ORGANIZATION88 w/ the·5 w/ Back
Samantha Power
PERSON87 w/ the·4 w/ Back
Ghislaine Maxwell
PERSON57 w/ the·4 w/ Back
New York
LOCATION48 w/ the·3 w/ Back
Marc Rich
PERSON45 w/ the·3 w/ Back
JPMorgan Chase
ORGANIZATION44 w/ the·3 w/ Back
Federal Reserve
ORGANIZATION40 w/ the·5 w/ Back
the State of New York
LOCATION31 w/ the·2 w/ Back
New York State
LOCATION24 w/ the·5 w/ Back
UBS AG
ORGANIZATION18 w/ the·5 w/ Back
Internal Revenue Service
ORGANIZATION15 w/ the·5 w/ Back
New Hampshire
LOCATION13 w/ the·5 w/ Back
Fannie Mae
ORGANIZATION10 w/ the·5 w/ Back
Wilmington
LOCATION12 w/ the·3 w/ Back
UBS Securities LLC
ORGANIZATION9 w/ the·5 w/ Back
UBS Fund
ORGANIZATION8 w/ the·5 w/ Back
Cease & Desist
ORGANIZATION8 w/ the·5 w/ Back
Lehman
ORGANIZATION8 w/ the·5 w/ Back
Mohammed bin Salman
PERSON10 w/ the·3 w/ Back