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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
o allocated or the Negative Basis of each such Negative Basis Member shall have been eliminated and (ii) to allocate any losses not so allocated to Negative Basis Members to the other Members in such manner as shall equitably reflect the amounts allocated to such Members' Capital Accounts pursuant to Sections 5.3(c)
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
o allocated or the Negative Basis of each such Negative Basis Member shall have been eliminated and (ii) to allocate any losses not so allocated to Negative Basis Members to the other Members in such manner as shall equitably reflect the amounts allocated to such Members' Capital Accounts pursuant to Sections 5.3(c)
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
o allocated or the Negative Basis of each such Negative Basis Member shall have been eliminated and (ii) to allocate any losses not so allocated to Negative Basis Members to the other Members in such manner as shall equitably reflect the amounts allocated to such Members' Capital Accounts pursuant to Sections 5.3(c)
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Mutual Connections (126)
Entities connected to both the Securities and Exchange Commission and Negative Basis Members
United States
LOCATION154 w/ the·3 w/ Negative
Department of Justice
ORGANIZATION88 w/ the·3 w/ Negative
Samantha Power
PERSON87 w/ the·3 w/ Negative
Ghislaine Maxwell
PERSON57 w/ the·2 w/ Negative
New York
LOCATION48 w/ the·3 w/ Negative
Marc Rich
PERSON45 w/ the·3 w/ Negative
JPMorgan Chase
ORGANIZATION44 w/ the·3 w/ Negative
Federal Reserve
ORGANIZATION40 w/ the·3 w/ Negative
the State of New York
LOCATION31 w/ the·2 w/ Negative
New York State
LOCATION24 w/ the·3 w/ Negative
UBS AG
ORGANIZATION18 w/ the·3 w/ Negative
Internal Revenue Service
ORGANIZATION15 w/ the·3 w/ Negative
New Hampshire
LOCATION13 w/ the·3 w/ Negative
Wilmington
LOCATION12 w/ the·3 w/ Negative
Fannie Mae
ORGANIZATION10 w/ the·3 w/ Negative
Mohammed bin Salman
PERSON10 w/ the·3 w/ Negative
UBS Securities LLC
ORGANIZATION9 w/ the·3 w/ Negative
UBS Fund
ORGANIZATION8 w/ the·3 w/ Negative
Lehman
ORGANIZATION8 w/ the·3 w/ Negative
the U.S. Department of Labor
ORGANIZATION8 w/ the·3 w/ Negative