Back to Network
5
Shared Docs
5
Same-Page
5 / 5
Mentions
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
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 Association. Auction Rate Securities (ARS
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
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 Association. Auction Rate Securities (ARS
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
.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 Association. Auction Rate Securities (ARS
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
.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 Association. Auction Rate Securities (ARS
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
.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 Association. Auction Rate Securities (ARS
Sponsored
Mutual Connections (130)
Entities connected to both UBS AG and Massachusetts Securities Division
Ghislaine Maxwell
PERSON165 w/ UBS·4 w/ Massachusetts
United States
LOCATION78 w/ UBS·4 w/ Massachusetts
Cayman
LOCATION48 w/ UBS·3 w/ Massachusetts
Marc Rich
PERSON44 w/ UBS·3 w/ Massachusetts
Samantha Power
PERSON34 w/ UBS·4 w/ Massachusetts
Department of Justice
ORGANIZATION21 w/ UBS·5 w/ Massachusetts
JPMorgan Chase
ORGANIZATION22 w/ UBS·3 w/ Massachusetts
the Securities and Exchange Commission
ORGANIZATION18 w/ UBS·6 w/ Massachusetts
New York
LOCATION19 w/ UBS·3 w/ Massachusetts
Federal Reserve
ORGANIZATION16 w/ UBS·5 w/ Massachusetts
UBS Securities LLC
ORGANIZATION14 w/ UBS·6 w/ Massachusetts
Internal Revenue Service
ORGANIZATION13 w/ UBS·6 w/ Massachusetts
Lehman
ORGANIZATION10 w/ UBS·6 w/ Massachusetts
Fannie Mae
ORGANIZATION11 w/ UBS·5 w/ Massachusetts
UBS Fund
ORGANIZATION9 w/ UBS·5 w/ Massachusetts
Cease & Desist
ORGANIZATION7 w/ UBS·6 w/ Massachusetts
the State of New York
LOCATION11 w/ UBS·2 w/ Massachusetts
New Hampshire
LOCATION6 w/ UBS·6 w/ Massachusetts
UBS Fund Advisor
ORGANIZATION8 w/ UBS·4 w/ Massachusetts
Ernst & Young LLP
ORGANIZATION8 w/ UBS·3 w/ Massachusetts