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zation. Plan Assets Rules means Section 3(42) of ERISA and any rules and regulations thereunder, together with any plan assets regulation issued by the U.S. Department of Labor under ERISA, including 29 C.F.R. § 2510.3-101, as amended. Positive Basis means, with respect to any Member and as of any time of calculation, the
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
zation. Plan Assets Rules means Section 3(42) of ERISA and any rules and regulations thereunder, together with any plan assets regulation issued by the U.S. Department of Labor under ERISA, including 29 C.F.R. § 2510.3-101, as amended. Positive Basis means, with respect to any Member and as of any time of calculation, the
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
zation. Plan Assets Rules means Section 3(42) of ERISA and any rules and regulations thereunder, together with any plan assets regulation issued by the U.S. Department of Labor under ERISA, including 29 C.F.R. § 2510.3-101, as amended. Positive Basis means, with respect to any Member and as of any time of calculation, the
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
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Mutual Connections (127)
Entities connected to both the U.S. Department of Labor and Civil Penalty
United States
LOCATION26 w/ the·4 w/ Civil
Department of Justice
ORGANIZATION18 w/ the·5 w/ Civil
New York
LOCATION10 w/ the·3 w/ Civil
the Securities and Exchange Commission
ORGANIZATION8 w/ the·5 w/ Civil
Ghislaine Maxwell
PERSON8 w/ the·4 w/ Civil
Cayman
LOCATION8 w/ the·3 w/ Civil
Federal Reserve
ORGANIZATION6 w/ the·5 w/ Civil
UBS AG
ORGANIZATION5 w/ the·5 w/ Civil
Internal Revenue Service
ORGANIZATION5 w/ the·5 w/ Civil
Marc Rich
PERSON7 w/ the·3 w/ Civil
Fannie Mae
ORGANIZATION5 w/ the·5 w/ Civil
Samantha Power
PERSON6 w/ the·4 w/ Civil
New Hampshire
LOCATION4 w/ the·5 w/ Civil
UBS Securities LLC
ORGANIZATION4 w/ the·5 w/ Civil
UBS Fund
ORGANIZATION3 w/ the·5 w/ Civil
Massachusetts Securities Division
ORGANIZATION3 w/ the·5 w/ Civil
the North American Securities Administrators Association
ORGANIZATION3 w/ the·5 w/ Civil
Cease & Desist
ORGANIZATION3 w/ the·5 w/ Civil
General State of NY
ORGANIZATION3 w/ the·5 w/ Civil
Brought
ORGANIZATION3 w/ the·5 w/ Civil