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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
f this Agreement, the transferee shall succeed to the Capital Account of the transferor to the extent it relates to the transferred Interest. 5.4 Allocation of Net Profit and Net Loss. As of the last day of each Fiscal Period, any Net Profit or Net Loss for the Fiscal Period shall be allocated among and credited to or debited agai
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
f this Agreement, the transferee shall succeed to the Capital Account of the transferor to the extent it relates to the transferred Interest. 5.4 Allocation of Net Profit and Net Loss. As of the last day of each Fiscal Period, any Net Profit or Net Loss for the Fiscal Period shall be allocated among and credited to or debited agai
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
f this Agreement, the transferee shall succeed to the Capital Account of the transferor to the extent it relates to the transferred Interest. 5.4 Allocation of Net Profit and Net Loss. As of the last day of each Fiscal Period, any Net Profit or Net Loss for the Fiscal Period shall be allocated among and credited to or debited agai
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Mutual Connections (126)
Entities connected to both the Securities and Exchange Commission and Allocation of Net Profit and Net Loss
United States
LOCATION154 w/ the·3 w/ Allocation
Department of Justice
ORGANIZATION88 w/ the·3 w/ Allocation
Samantha Power
PERSON87 w/ the·3 w/ Allocation
Ghislaine Maxwell
PERSON57 w/ the·2 w/ Allocation
New York
LOCATION48 w/ the·3 w/ Allocation
Marc Rich
PERSON45 w/ the·3 w/ Allocation
JPMorgan Chase
ORGANIZATION44 w/ the·3 w/ Allocation
Federal Reserve
ORGANIZATION40 w/ the·3 w/ Allocation
the State of New York
LOCATION31 w/ the·2 w/ Allocation
New York State
LOCATION24 w/ the·3 w/ Allocation
UBS AG
ORGANIZATION18 w/ the·3 w/ Allocation
Internal Revenue Service
ORGANIZATION15 w/ the·3 w/ Allocation
New Hampshire
LOCATION13 w/ the·3 w/ Allocation
Wilmington
LOCATION12 w/ the·3 w/ Allocation
Fannie Mae
ORGANIZATION10 w/ the·3 w/ Allocation
Mohammed bin Salman
PERSON10 w/ the·3 w/ Allocation
UBS Securities LLC
ORGANIZATION9 w/ the·3 w/ Allocation
UBS Fund
ORGANIZATION8 w/ the·3 w/ Allocation
Lehman
ORGANIZATION8 w/ the·3 w/ Allocation
the U.S. Department of Labor
ORGANIZATION8 w/ the·3 w/ Allocation