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ty; 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 line of 5150 million (575 million to the NYAG and 575 million allocated to the remaining states). 5. Date of Action: July 16, 200
t forth in the Certificate of Formation as filed in the office of the Secretary of State pursuant to the Act, and upon the giving of such notice in the Certificate of Formation, the statutory provisions of Section 18-215 of the Act (and the statutory effect under Section 18-215 of setting forth such notice in the certifica
2 mentions1 same-page
Page ?Same page
ty; 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 line of 5150 million (575 million to the NYAG and 575 million allocated to the remaining states). 5. Date of Action: July 16, 200
t forth in the Certificate of Formation as filed in the office of the Secretary of State pursuant to the Act, and upon the giving of such notice in the Certificate of Formation, the statutory provisions of Section 18-215 of the Act (and the statutory effect under Section 18-215 of setting forth such notice in the certifica
2 mentions1 same-page
Page ?Same page
ty; 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 line of 5150 million (575 million to the NYAG and 575 million allocated to the remaining states). 5. Date of Action: July 16, 200
t forth in the Certificate of Formation as filed in the office of the Secretary of State pursuant to the Act, and upon the giving of such notice in the Certificate of Formation, the statutory provisions of Section 18-215 of the Act (and the statutory effect under Section 18-215 of setting forth such notice in the certifica
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Mutual Connections (128)
Entities connected to both UBS Securities LLC and the Certificate of Formation
UBS AG
ORGANIZATION14 w/ UBS·3 w/ the
United States
LOCATION10 w/ UBS·3 w/ the
Federal Reserve
ORGANIZATION10 w/ UBS·3 w/ the
the Securities and Exchange Commission
ORGANIZATION9 w/ UBS·3 w/ the
Department of Justice
ORGANIZATION8 w/ UBS·3 w/ the
Cease & Desist
ORGANIZATION8 w/ UBS·3 w/ the
New York State
LOCATION8 w/ UBS·3 w/ the
Internal Revenue Service
ORGANIZATION6 w/ UBS·5 w/ the
Ghislaine Maxwell
PERSON8 w/ UBS·3 w/ the
Lehman
ORGANIZATION7 w/ UBS·3 w/ the
Brought
ORGANIZATION7 w/ UBS·3 w/ the
The Ohio Division of Securities
ORGANIZATION7 w/ UBS·3 w/ the
the Delaware Limited Liability Company Act
ORGANIZATION4 w/ UBS·6 w/ the
Fannie Mae
ORGANIZATION7 w/ UBS·3 w/ the
UBS Fund
ORGANIZATION7 w/ UBS·3 w/ the
New Hampshire
LOCATION6 w/ UBS·3 w/ the
New York
LOCATION6 w/ UBS·3 w/ the
Marc Rich
PERSON5 w/ UBS·4 w/ the
Lehman Structured Products
ORGANIZATION6 w/ UBS·3 w/ the
Samantha Power
PERSON5 w/ UBS·4 w/ the