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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
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 permanently enjoined from violations of the broker/dealer anti-fraud provisions. Allegations: violations of
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
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 permanently enjoined from violations of the broker/dealer anti-fraud provisions. Allegations: Violations of
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
&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 permanently enjoined from violations of the broker/dealer anti-fraud provisions. Allegations: Violations of
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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
&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 permanently enjoined from violations of the brokeridealer anti-fraud provisions. Allegations: Violations of
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
&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 permanently enjoined from violations of the brokeridealer anti-fraud provisions. Allegations: Violations of
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Mutual Connections (130)
Entities connected to both UBS AG and the North American Securities Administrators Association
Ghislaine Maxwell
PERSON165 w/ UBS·4 w/ the
United States
LOCATION78 w/ UBS·4 w/ the
Cayman
LOCATION48 w/ UBS·3 w/ the
Marc Rich
PERSON44 w/ UBS·3 w/ the
Samantha Power
PERSON34 w/ UBS·4 w/ the
Department of Justice
ORGANIZATION21 w/ UBS·5 w/ the
JPMorgan Chase
ORGANIZATION22 w/ UBS·3 w/ the
the Securities and Exchange Commission
ORGANIZATION18 w/ UBS·6 w/ the
New York
LOCATION19 w/ UBS·3 w/ the
Federal Reserve
ORGANIZATION16 w/ UBS·5 w/ the
UBS Securities LLC
ORGANIZATION14 w/ UBS·6 w/ the
Internal Revenue Service
ORGANIZATION13 w/ UBS·6 w/ the
Lehman
ORGANIZATION10 w/ UBS·6 w/ the
Fannie Mae
ORGANIZATION11 w/ UBS·5 w/ the
UBS Fund
ORGANIZATION9 w/ UBS·5 w/ the
Cease & Desist
ORGANIZATION7 w/ UBS·6 w/ the
the State of New York
LOCATION11 w/ UBS·2 w/ the
New Hampshire
LOCATION6 w/ UBS·6 w/ the
UBS Fund Advisor
ORGANIZATION8 w/ UBS·4 w/ the
Ernst & Young LLP
ORGANIZATION8 w/ UBS·3 w/ the