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Document Mentions (7 shared documents)
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 fine of 5150 million ($75 million to the NYAG and S75 million allocated to the remaining states). ML281837-MAXWELL Page 2 of 4 C
to supervise. Disposition: Fine Fine: 595,000 7. Date of Action: April 28, 2003 — March 19, 2004 Entity: UBS Financial Services and affiliates Brought By. Secretary of State of 47 States and Washington Allegations: Violation of Securities Act regulations regarding research practices and conflicts o
2 mentions1 same-page
Page ?Same page
e securities laws Disposition: Cease & Desist. Fine, Penalty, Disgorgement, Investor Education. Details: UBS Financial Services Inc. (together with UBS Securities LLC) paid a total of S80M (allocated among the states), which includes $25M penalty. S25M as disgorgement, $25M to be used for procurement of independen
n* to supervise. Disposition: Fine Fine: $95,000 6. Date of Action: April 28, 2003 March 19, 2004 Entity: UBS Financial Services and affiliates Brought By: Secretary of State of 47 States and Washington D.C. Allegations: Vitiation of Securities Act regulations regarding research practices and confli
2 mentions1 same-page
Page ?Same page
e securities laws Disposition: Cease & Desist. Fine, Penalty, Disgorgement, Investor Education. Details: UBS Financial Services Inc. (together with UBS Securities LLC) paid a total of S80M (allocated among the states), which includes $25M penalty. S25M as disgorgement, $25M to be used for procurement of independen
n* to supervise. Disposition: Fine Fine: $95,000 6. Date of Action: April 28, 2003 March 19, 2004 Entity: UBS Financial Services and affiliates Brought By: Secretary of State of 47 States and Washington D.C. Allegations: Vitiation of Securities Act regulations regarding research practices and confli
Sponsored
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
to supervise. Disposition: Fine Fine: $95,000 7. Date of Action: April 28, 2003 — March 19, 2004 Entity: UBS Financial Services and affiliates Brought By: Secretary of State of 47 States and Washington M. Allegations: Violation of Securities Act regulations regarding research practices and conflict
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
to supervise. Disposition: Fine Fine: $95,000 7. Date of Action: April 28, 2003 — March 19, 2004 Entity: UBS Financial Services and affiliates Brought By: Secretary of State of 47 States and Washington D.C. Allegations: Violation of Securities Act regulations regarding research practices and confli
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
to supervise. Disposition: Fine Fine: $95,000 7. Date of Action: April 28, 2003 — March 19, 2004 Entity: UBS Financial Services and affiliates Brought By: Secretary of State of 47 States and Washington D.C. Allegations: Violation of Securities Act regulations regarding research practices and confli
Sponsored
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
to supervise. Disposition: Fine Fine: $95,000 7. Date of Action: April 28, 2003 — March 19, 2004 Entity: UBS Financial Services and affiliates Brought By: Secretary of State of 47 States and Washington M. Allegations: Violation of Securities Act regulations regarding research practices and conflict
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Mutual Connections (137)
Entities connected to both UBS Securities LLC and Brought
UBS AG
ORGANIZATION14 w/ UBS·5 w/ Brought
Federal Reserve
ORGANIZATION10 w/ UBS·5 w/ Brought
the Securities and Exchange Commission
ORGANIZATION9 w/ UBS·5 w/ Brought
United States
LOCATION10 w/ UBS·4 w/ Brought
The Ohio Division of Securities
ORGANIZATION7 w/ UBS·7 w/ Brought
Cease & Desist
ORGANIZATION8 w/ UBS·5 w/ Brought
New York State
LOCATION8 w/ UBS·5 w/ Brought
Department of Justice
ORGANIZATION8 w/ UBS·5 w/ Brought
Lehman
ORGANIZATION7 w/ UBS·5 w/ Brought
UBS Fund
ORGANIZATION7 w/ UBS·5 w/ Brought
Ghislaine Maxwell
PERSON8 w/ UBS·4 w/ Brought
Fannie Mae
ORGANIZATION7 w/ UBS·5 w/ Brought
Massachusetts Securities Division
ORGANIZATION6 w/ UBS·5 w/ Brought
Dept. of
ORGANIZATION6 w/ UBS·5 w/ Brought
New Hampshire
LOCATION6 w/ UBS·5 w/ Brought
Internal Revenue Service
ORGANIZATION6 w/ UBS·5 w/ Brought
Lehman Structured Products
ORGANIZATION6 w/ UBS·5 w/ Brought
the North American Securities Administrators Association
ORGANIZATION6 w/ UBS·5 w/ Brought
Civil Penalty
ORGANIZATION5 w/ UBS·5 w/ Brought
General State of NY
ORGANIZATION5 w/ UBS·5 w/ Brought