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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
llocated among and credited to or debited against the Capital Accounts of the Members in accordance with their respective Fund Percentages for such Fiscal Period, except to the extent otherwise provided in this Agreement with respect to items of profit or loss that are to be allocated on a non-pro rata basis
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
llocated among and credited to or debited against the Capital Accounts of the Members in accordance with their respective Fund Percentages for such Fiscal Period, except to the extent otherwise provided in this Agreement with respect to items of profit or loss that are to be allocated on a non-pro rata basis
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
llocated among and credited to or debited against the Capital Accounts of the Members in accordance with their respective Fund Percentages for such Fiscal Period, except to the extent otherwise provided in this Agreement with respect to items of profit or loss that are to be allocated on a non-pro rata basis
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Mutual Connections (127)
Entities connected to both UBS Securities LLC and Fiscal Period
UBS AG
ORGANIZATION14 w/ UBS·3 w/ Fiscal
United States
LOCATION10 w/ UBS·4 w/ Fiscal
Federal Reserve
ORGANIZATION10 w/ UBS·3 w/ Fiscal
the Securities and Exchange Commission
ORGANIZATION9 w/ UBS·3 w/ Fiscal
New York State
LOCATION8 w/ UBS·3 w/ Fiscal
Cease & Desist
ORGANIZATION8 w/ UBS·3 w/ Fiscal
Department of Justice
ORGANIZATION8 w/ UBS·3 w/ Fiscal
Fannie Mae
ORGANIZATION7 w/ UBS·3 w/ Fiscal
UBS Fund
ORGANIZATION7 w/ UBS·3 w/ Fiscal
Lehman
ORGANIZATION7 w/ UBS·3 w/ Fiscal
New York
LOCATION6 w/ UBS·4 w/ Fiscal
Brought
ORGANIZATION7 w/ UBS·3 w/ Fiscal
Ghislaine Maxwell
PERSON8 w/ UBS·2 w/ Fiscal
The Ohio Division of Securities
ORGANIZATION7 w/ UBS·3 w/ Fiscal
New Hampshire
LOCATION6 w/ UBS·3 w/ Fiscal
Cayman
LOCATION5 w/ UBS·4 w/ Fiscal
Samantha Power
PERSON5 w/ UBS·4 w/ Fiscal
Lehman Structured Products
ORGANIZATION6 w/ UBS·3 w/ Fiscal
the North American Securities Administrators Association
ORGANIZATION6 w/ UBS·3 w/ Fiscal
Massachusetts Securities Division
ORGANIZATION6 w/ UBS·3 w/ Fiscal