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Document Mentions (5 shared documents)
2 mentions1 same-page
Page ?Same page
vides information about certain disciplinary matters relating to the AlphaKeys Funds and the UBS Funds (collectively, the Funds), our parent company UBS AG, UBS Fund Advisor LLC (the Funds' Member Designee, Managing Member or Administrator), UBS Financial Services, Inc. (the Funds' Distributor), as wel
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 Association. Auction Rate Securities (ARS): UBS is perman
2 mentions1 same-page
Page ?Same page
vides information about certain disciplinary matters relating to the AlphaKeys Funds and the UBS Funds (collectively, the Funds), our parent company UBS AG, UBS Fund Advisor LLC (the Funds' Member Designee, Managing Member or Administrator), UBS Financial Services, Inc. (the Funds' Distributor), as wel
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 Association. Auction Rate Securities (ARS): UBS is perman
2 mentions1 same-page
Page ?Same page
vides information about certain disciplinary matters relating to the AlphaKeys Funds and the UBS Funds (collectively, the Funds), our parent company UBS AG, UBS Fund Advisor LLC (the Funds' Member Designee, Managing Member or Administrator), UBS Financial Services, Inc. (the Funds' Distributor), as wel
d 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 Association. Auction Rate Securities (ARS): UBS is perman
Sponsored
2 mentions1 same-page
Page ?Same page
vides information about certain disciplinary matters relating to the AlphaKeys Funds and the UBS Funds (collectively, the Funds), our parent company UBS AG, UBS Fund Advisor LLC (the Funds' Member Designee, Managing Member or Administrator), UBS Financial Services, Inc. (the Funds' Distributor), as wel
d 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 Association. Auction Rate Securities (ARS): UBS is perman
2 mentions1 same-page
Page ?Same page
vides information about certain disciplinary matters relating to the AlphaKeys Funds and the UBS Funds (collectively, the Funds), our parent company UBS AG, UBS Fund Advisor LLC (the Funds' Member Designee, Managing Member or Administrator), UBS Financial Services, Inc. (the Funds' Distributor), as wel
d 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 Association. Auction Rate Securities (ARS): UBS is perman
Sponsored
Mutual Connections (775)
Entities connected to both UBS AG and New York State
Jeffrey Epstein
PERSON44 w/ UBS·416 w/ New
Ghislaine Maxwell
PERSON165 w/ UBS·138 w/ New
United States
LOCATION78 w/ UBS·178 w/ New
New York
LOCATION19 w/ UBS·233 w/ New
NEW YORK NY
LOCATION43 w/ UBS·112 w/ New
George W. Bush
PERSON54 w/ UBS·97 w/ New
New York City
LOCATION12 w/ UBS·139 w/ New
Samantha Power
PERSON34 w/ UBS·116 w/ New
Prince Andrew
PERSON18 w/ UBS·129 w/ New
Department of Justice
ORGANIZATION21 w/ UBS·114 w/ New
LB
Leon Black
PERSON15 w/ UBS·110 w/ New
Julie K. Brown
PERSON14 w/ UBS·104 w/ New
Puerto Rico
LOCATION61 w/ UBS·57 w/ New
Prince Charles
PERSON31 w/ UBS·85 w/ New
Donald Trump
PERSON16 w/ UBS·93 w/ New
Vicky Ward
PERSON66 w/ UBS·39 w/ New
Alan Dershowitz
PERSON34 w/ UBS·71 w/ New
Marc Rich
PERSON44 w/ UBS·58 w/ New
MF
Maria Farmer
PERSON37 w/ UBS·64 w/ New
John F. Kennedy
PERSON11 w/ UBS·85 w/ New