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Document Mentions (5 shared documents)
2 mentions1 same-page
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s license to act as a sales representative on Feb. 2, 2010. UBS AG (Parent Company) 12. Date of Action: May 10, 2004 Entity. UBS AG Brought by: Federal Reserve Bank of New York Details: UBS engaged in U.S. Dollar banknote transactions with counterparties in jurisdictions subject to U.S. sanctions, and certain f
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
equate risk management and control system for this business. Disposition: Injunction 17. Date of Action: May 10, 2004 Entity: UBS AG Brought by: Federal Reserve Bank of New York Details: UBS engaged in U.S. Dollar banknote transactions with counterparties in jurisdictions subject to U.S. sanctions, and certain f
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
equate risk management and control system for this business. Disposition: Injunction 17. Date of Action: May 10, 2004 Entity: UBS AG Brought by: Federal Reserve Bank of New York Details: UBS engaged in U.S. Dollar banknote transactions with counterparties in jurisdictions subject to U.S. sanctions, and certain f
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
equate risk management and control system for this business. Disposition: Injunction 17. Date of Action: May 10, 2004 Entity: UBS AG Brought by: Federal Reserve Bank of New York Details: UBS engaged in U.S. Dollar banknote transactions with counterparties in jurisdictions subject to U.S. sanctions, and certain f
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
equate risk management and control system for this business. Disposition: Injunction 17. Date of Action: May 10, 2004 Entity: UBS AG Brought by: Federal Reserve Bank of New York Details: UBS engaged in U.S. Dollar banknote transactions with counterparties in jurisdictions subject to U.S. sanctions, and certain f
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 Federal Reserve and Civil Penalty
JPMorgan Chase
ORGANIZATION188 w/ Federal·3 w/ Civil
Ghislaine Maxwell
PERSON180 w/ Federal·4 w/ Civil
the State of New York
LOCATION148 w/ Federal·2 w/ Civil
United States
LOCATION128 w/ Federal·4 w/ Civil
Department of Justice
ORGANIZATION63 w/ Federal·5 w/ Civil
New York
LOCATION65 w/ Federal·3 w/ Civil
Marc Rich
PERSON53 w/ Federal·3 w/ Civil
Samantha Power
PERSON48 w/ Federal·4 w/ Civil
the Securities and Exchange Commission
ORGANIZATION40 w/ Federal·5 w/ Civil
UBS AG
ORGANIZATION16 w/ Federal·5 w/ Civil
Mohammed bin Salman
PERSON17 w/ Federal·3 w/ Civil
New York State
LOCATION14 w/ Federal·5 w/ Civil
New Hampshire
LOCATION14 w/ Federal·5 w/ Civil
Lehman
ORGANIZATION11 w/ Federal·5 w/ Civil
Tokyo
LOCATION12 w/ Federal·3 w/ Civil
Fannie Mae
ORGANIZATION10 w/ Federal·5 w/ Civil
UBS Securities LLC
ORGANIZATION10 w/ Federal·5 w/ Civil
Internal Revenue Service
ORGANIZATION10 w/ Federal·5 w/ Civil
UBS Fund
ORGANIZATION8 w/ Federal·5 w/ Civil
Dept. of
ORGANIZATION7 w/ Federal·5 w/ Civil