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
Allegations: violations of 34 Act Section 15(c) regarding the marketing and sale of Auction Rate Securities. Disposition: Cease & Desist Injunction; Civil Penalty; Consent Judgment Cease & Desist, and Fines in varying amounts currently being paid to all 50 states. UBS Financial Services Inc. (together with UB
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
Allegations: Violations of 34 Act Section 15(c) regarding the marketing and sale of Auction Rate Securities. Disposition: Cease & Desist Injunction; Civil Penalty; Consent Judgment Cease & Desist, and Fines in varying amounts currently being paid to all 50 states. UBS Financial Services Inc. (together with UB
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
Allegations: Violations of 34 Act Section 15(c) regarding the marketing and sale of Auction Rate Securities. Disposition: Cease & Desist Injunction; Civil Penalty; Consent Judgment Cease & Desist, and Fines in varying amounts currently being paid to all 50 states. UBS Financial Services Inc. (together with UB
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
Allegations: Violations of 34 Act Section 15(c) regarding the marketing and sale of Auction Rate Securities. Disposition: Cease & Desist Injunction; Civil Penalty; Consent Judgment Cease & Desist, and Fines in varying amounts currently being paid to all 50 states. UBS Financial Services Inc. (together with UB
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
Allegations: Violations of 34 Act Section 15(c) regarding the marketing and sale of Auction Rate Securities. Disposition: Cease & Desist Injunction; Civil Penalty; Consent Judgment Cease & Desist, and Fines in varying amounts currently being paid to all 50 states. UBS Financial Services Inc. (together with UB
Sponsored
Mutual Connections (130)
Entities connected to both UBS AG and Civil Penalty
Ghislaine Maxwell
PERSON165 w/ UBS·4 w/ Civil
United States
LOCATION78 w/ UBS·4 w/ Civil
Cayman
LOCATION48 w/ UBS·3 w/ Civil
Marc Rich
PERSON44 w/ UBS·3 w/ Civil
Samantha Power
PERSON34 w/ UBS·4 w/ Civil
Department of Justice
ORGANIZATION21 w/ UBS·5 w/ Civil
JPMorgan Chase
ORGANIZATION22 w/ UBS·3 w/ Civil
the Securities and Exchange Commission
ORGANIZATION18 w/ UBS·5 w/ Civil
New York
LOCATION19 w/ UBS·3 w/ Civil
Federal Reserve
ORGANIZATION16 w/ UBS·5 w/ Civil
UBS Securities LLC
ORGANIZATION14 w/ UBS·5 w/ Civil
Internal Revenue Service
ORGANIZATION13 w/ UBS·5 w/ Civil
Fannie Mae
ORGANIZATION11 w/ UBS·5 w/ Civil
Lehman
ORGANIZATION10 w/ UBS·5 w/ Civil
UBS Fund
ORGANIZATION9 w/ UBS·5 w/ Civil
the State of New York
LOCATION11 w/ UBS·2 w/ Civil
Cease & Desist
ORGANIZATION7 w/ UBS·5 w/ Civil
UBS Fund Advisor
ORGANIZATION8 w/ UBS·4 w/ Civil
Ernst & Young LLP
ORGANIZATION8 w/ UBS·3 w/ Civil
the Financial Advisor's
ORGANIZATION6 w/ UBS·5 w/ Civil