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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
et Profit or Net Loss means the amount by which the Net Assets as of the close of business on the last day of a Fiscal Period exceed (in the case of Net Profit) or are less than (in the case of Net Loss) the Net Assets as of the commencement of the same Fiscal Period (or, with respect to the initial Fiscal
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
et Profit or Net Loss means the amount by which the Net Assets as of the close of business on the last day of a Fiscal Period exceed (in the case of Net Profit) or are less than (in the case of Net Loss) the Net Assets as of the commencement of the same Fiscal Period (or, with respect to the initial Fiscal
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
et Profit or Net Loss means the amount by which the Net Assets as of the close of business on the last day of a Fiscal Period exceed (in the case of Net Profit) or are less than (in the case of Net Loss) the Net Assets as of the commencement of the same Fiscal Period (or, with respect to the initial Fiscal
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Mutual Connections (127)
Entities connected to both UBS Securities LLC and Net Profit
UBS AG
ORGANIZATION14 w/ UBS·3 w/ Net
United States
LOCATION10 w/ UBS·4 w/ Net
Federal Reserve
ORGANIZATION10 w/ UBS·3 w/ Net
the Securities and Exchange Commission
ORGANIZATION9 w/ UBS·3 w/ Net
Department of Justice
ORGANIZATION8 w/ UBS·3 w/ Net
Cease & Desist
ORGANIZATION8 w/ UBS·3 w/ Net
New York State
LOCATION8 w/ UBS·3 w/ Net
Ghislaine Maxwell
PERSON8 w/ UBS·2 w/ Net
Brought
ORGANIZATION7 w/ UBS·3 w/ Net
The Ohio Division of Securities
ORGANIZATION7 w/ UBS·3 w/ Net
UBS Fund
ORGANIZATION7 w/ UBS·3 w/ Net
Fannie Mae
ORGANIZATION7 w/ UBS·3 w/ Net
Lehman
ORGANIZATION7 w/ UBS·3 w/ Net
Massachusetts Securities Division
ORGANIZATION6 w/ UBS·3 w/ Net
Internal Revenue Service
ORGANIZATION6 w/ UBS·3 w/ Net
the North American Securities Administrators Association
ORGANIZATION6 w/ UBS·3 w/ Net
New Hampshire
LOCATION6 w/ UBS·3 w/ Net
Dept. of
ORGANIZATION6 w/ UBS·3 w/ Net
New York
LOCATION6 w/ UBS·3 w/ Net
Samantha Power
PERSON5 w/ UBS·4 w/ Net