Back to Network
3
Shared Docs
3
Same-Page
3 / 3
Mentions
Document Mentions (3 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
S25M penalty, S25M as disgorgement, S25M to be used for procurement of independent research and S5M for investor education. Fines varied by State. Financial Advisors of UBS Financial Services, Inc. 8. Date of Action: February 2, 2010 Entity: Individual Financial Advisor Brought By: State of Nevada Details: State
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
S25M penalty, S25M as disgorgement, S25M to be used for procurement of independent research and $5M for investor education. Fines varied by State. Financial Advisors of UBS Financial Services, Inc. 8. Date of Action: February 2, 2010 Entity: Individual Financial Advisor Brought By: State of Nevada Details: State
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
S25M penalty, S25M as disgorgement, S25M to be used for procurement of independent research and $5M for investor education. Fines varied by State. Financial Advisors of UBS Financial Services, Inc. 8. Date of Action: February 2, 2010 Entity: Individual Financial Advisor Brought By: State of Nevada Details: State
Sponsored
Mutual Connections (126)
Entities connected to both UBS AG and Financial Advisors of
Ghislaine Maxwell
PERSON165 w/ UBS·3 w/ Financial
United States
LOCATION78 w/ UBS·3 w/ Financial
Cayman
LOCATION48 w/ UBS·2 w/ Financial
Marc Rich
PERSON44 w/ UBS·2 w/ Financial
Samantha Power
PERSON34 w/ UBS·3 w/ Financial
Department of Justice
ORGANIZATION21 w/ UBS·3 w/ Financial
JPMorgan Chase
ORGANIZATION22 w/ UBS·2 w/ Financial
the Securities and Exchange Commission
ORGANIZATION18 w/ UBS·3 w/ Financial
New York
LOCATION19 w/ UBS·2 w/ Financial
Federal Reserve
ORGANIZATION16 w/ UBS·3 w/ Financial
UBS Securities LLC
ORGANIZATION14 w/ UBS·3 w/ Financial
Internal Revenue Service
ORGANIZATION13 w/ UBS·3 w/ Financial
Fannie Mae
ORGANIZATION11 w/ UBS·3 w/ Financial
the State of New York
LOCATION11 w/ UBS·2 w/ Financial
Lehman
ORGANIZATION10 w/ UBS·3 w/ Financial
UBS Fund
ORGANIZATION9 w/ UBS·3 w/ Financial
UBS Fund Advisor
ORGANIZATION8 w/ UBS·3 w/ Financial
Cease & Desist
ORGANIZATION7 w/ UBS·3 w/ Financial
Ernst & Young LLP
ORGANIZATION8 w/ UBS·2 w/ Financial
Millennium
ORGANIZATION8 w/ UBS·2 w/ Financial