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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 fine of 5150 million ($75 million to the NYAG and S75 million allocated to the remaining states). ML281837-MAXWELL Page 2 of 4 C
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
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
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
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
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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2 mentions1 same-page
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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
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
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
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 (130)
Entities connected to both UBS Securities LLC and Civil Penalty
UBS AG
ORGANIZATION14 w/ UBS·5 w/ Civil
Federal Reserve
ORGANIZATION10 w/ UBS·5 w/ Civil
United States
LOCATION10 w/ UBS·4 w/ Civil
the Securities and Exchange Commission
ORGANIZATION9 w/ UBS·5 w/ Civil
New York State
LOCATION8 w/ UBS·5 w/ Civil
Cease & Desist
ORGANIZATION8 w/ UBS·5 w/ Civil
Department of Justice
ORGANIZATION8 w/ UBS·5 w/ Civil
Brought
ORGANIZATION7 w/ UBS·5 w/ Civil
The Ohio Division of Securities
ORGANIZATION7 w/ UBS·5 w/ Civil
UBS Fund
ORGANIZATION7 w/ UBS·5 w/ Civil
Ghislaine Maxwell
PERSON8 w/ UBS·4 w/ Civil
Fannie Mae
ORGANIZATION7 w/ UBS·5 w/ Civil
Lehman
ORGANIZATION7 w/ UBS·5 w/ Civil
Lehman Structured Products
ORGANIZATION6 w/ UBS·5 w/ Civil
New Hampshire
LOCATION6 w/ UBS·5 w/ Civil
Massachusetts Securities Division
ORGANIZATION6 w/ UBS·5 w/ Civil
Internal Revenue Service
ORGANIZATION6 w/ UBS·5 w/ Civil
the North American Securities Administrators Association
ORGANIZATION6 w/ UBS·5 w/ Civil
Dept. of
ORGANIZATION6 w/ UBS·5 w/ Civil
Back Taxes Payment
ORGANIZATION5 w/ UBS·5 w/ Civil