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Document Mentions (7 shared documents)
2 mentions1 same-page
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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
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 UBS Securities LLC) agreed to pay a
2 mentions1 same-page
Page ?Same page
mpany on June 25, 1996. It is a wholly owned subsidiary of UBS Americas Inc., a Delaware corporation, which in turn is a wholly owned subsidiary of UBS AG a Swiss stock corporation. Fund Advisor became a registered investment adviser on July 10, 1998. As of November 28, 2014, UBS AG has a new Group Ho
and did not file with the National Futures Association the commodity pools' annual reports in a timely manner or deliver to pool participants. Cease & Desist from violating Regulation 4.7(b)(3)(i) and CFR 4.7(b)(3)(0(2008) and pay a civil penalty Civil Penalty: $50,000 5 February 2009 SEC and
2 mentions1 same-page
Page ?Same page
mpany on June 25, 1996. It is a wholly owned subsidiary of UBS Americas Inc., a Delaware corporation, which in turn is a wholly owned subsidiary of UBS AG a Swiss stock corporation. Fund Advisor became a registered investment adviser on July 10, 1998. As of November 28, 2014, UBS AG has a new Group Ho
and did not file with the National Futures Association the commodity pools' annual reports in a timely manner or deliver to pool participants. Cease & Desist from violating Regulation 4.7(b)(3)(0 and CFR 4.7(b)(3)(0(2008) and pay a civil penalty Civil Penalty: $50,000 5 February 2009 SEC and U
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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
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 UBS Securities LLC) agreed to pay a
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
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 UBS Securities LLC) agreed to pay a
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
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 UBS Securities LLC) agreed to pay a
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
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 UBS Securities LLC) agreed to pay a
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Mutual Connections (179)
Entities connected to both UBS AG and Cease & Desist
Ghislaine Maxwell
PERSON165 w/ UBS·6 w/ Cease
United States
LOCATION78 w/ UBS·6 w/ Cease
Cayman
LOCATION48 w/ UBS·3 w/ Cease
Marc Rich
PERSON44 w/ UBS·3 w/ Cease
Samantha Power
PERSON34 w/ UBS·4 w/ Cease
UBS Bank USA
ORGANIZATION29 w/ UBS·2 w/ Cease
Department of Justice
ORGANIZATION21 w/ UBS·7 w/ Cease
the Securities and Exchange Commission
ORGANIZATION18 w/ UBS·8 w/ Cease
JPMorgan Chase
ORGANIZATION22 w/ UBS·3 w/ Cease
Federal Reserve
ORGANIZATION16 w/ UBS·7 w/ Cease
UBS Securities LLC
ORGANIZATION14 w/ UBS·8 w/ Cease
New York
LOCATION19 w/ UBS·3 w/ Cease
Internal Revenue Service
ORGANIZATION13 w/ UBS·6 w/ Cease
Fannie Mae
ORGANIZATION11 w/ UBS·7 w/ Cease
FDIC
ORGANIZATION15 w/ UBS·2 w/ Cease
Lehman
ORGANIZATION10 w/ UBS·6 w/ Cease
UBS Fund
ORGANIZATION9 w/ UBS·7 w/ Cease
the State of New York
LOCATION11 w/ UBS·2 w/ Cease
New Hampshire
LOCATION6 w/ UBS·6 w/ Cease
UBS Group AG
ORGANIZATION10 w/ UBS·2 w/ Cease