Back to Network
7
Shared Docs
7
Same-Page
7 / 7
Mentions
Document Mentions (7 shared documents)
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 fine of 5150 million ($75 million to the NYAG and S75 million allocated to the remaining states). ML281837-MAXWELL Page 2 of 4 C
ation 60 (11 NYCRR 51.5). 10. Date of Action: May 12, 2000 Entity: Individual Financial Advisor Brought By. Ohio Division of Securities Details: The Ohio Division of Securities issued a final order to deny the Financial Advisor's application for a securities sales cerson license. ML281837-MAXWELL Page 3 of 4 CONFIDENTIAL
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
ulation 60 (11 NYCRR 51.5). 9. Date of Action: May 12.2000 Entity: Individual Financial Advisor Brought By: Ohio Division ol Securities Details: The Ohio Division of Securities issued a final order to deny the Finaecal Advisor's application fo' a securities sales person license. JO. Date of Action: February 2, 7010 Entit
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
ulation 60 (11 NYCRR 51.5). 9. Date of Action: May 12.2000 Entity: Individual Financial Advisor Brought By: Ohio Division ol Securities Details: The Ohio Division of Securities issued a final order to deny the Finaecal Advisor's application fo' a securities sales person license. JO. Date of Action: February 2, 7010 Entit
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
tion 60 (11 NYCRR 51.5). 11. Date of Action: May 12, 2000 Entity: Individual Financial Advisor Brought By: Ohio Division of Securities Details: The Ohio Division of Securities issued a final order to deny the Financial Advisor's application for a securities sales person license. ER30 378-MAXWELL Page 3 of 4 CONFIDENTIAL
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
tion 60 (11 NYCRR 51.5). 11. Date of Action: May 12, 2000 Entity: Individual Financial Advisor Brought By: Ohio Division of Securities Details: The Ohio Division of Securities issued a final order to deny the Financial Advisor's application for a securities sales person license. Page 3 of 4 CONFI DENTIAL UBSTERFtAMAR000
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
tion 60 (11 NYCRR 51.5). 11. Date of Action: May 12, 2000 Entity: Individual Financial Advisor Brought By: Ohio Division of Securities Details: The Ohio Division of Securities issued a final order to deny the Financial Advisor's application for a securities sales person license. "\.1.172-8-1-8 1 7-M A X ‘,/Wht. Page 3 of
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
tion 60 (11 NYCRR 51.5). 11. Date of Action: May 12, 2000 Entity: Individual Financial Advisor Brought By: Ohio Division of Securities Details: The Ohio Division of Securities issued a final order to deny the Financial Advisor's application for a securities sales person license. - rvi-A ><WVE L L Page 3 of 4 CONFIDENTIA
Sponsored
Mutual Connections (137)
Entities connected to both UBS Securities LLC and The Ohio Division of Securities
UBS AG
ORGANIZATION14 w/ UBS·5 w/ The
Federal Reserve
ORGANIZATION10 w/ UBS·5 w/ The
the Securities and Exchange Commission
ORGANIZATION9 w/ UBS·5 w/ The
United States
LOCATION10 w/ UBS·4 w/ The
Brought
ORGANIZATION7 w/ UBS·7 w/ The
Cease & Desist
ORGANIZATION8 w/ UBS·5 w/ The
New York State
LOCATION8 w/ UBS·5 w/ The
Department of Justice
ORGANIZATION8 w/ UBS·5 w/ The
Lehman
ORGANIZATION7 w/ UBS·5 w/ The
UBS Fund
ORGANIZATION7 w/ UBS·5 w/ The
Ghislaine Maxwell
PERSON8 w/ UBS·4 w/ The
Fannie Mae
ORGANIZATION7 w/ UBS·5 w/ The
Massachusetts Securities Division
ORGANIZATION6 w/ UBS·5 w/ The
Dept. of
ORGANIZATION6 w/ UBS·5 w/ The
New Hampshire
LOCATION6 w/ UBS·5 w/ The
Internal Revenue Service
ORGANIZATION6 w/ UBS·5 w/ The
Lehman Structured Products
ORGANIZATION6 w/ UBS·5 w/ The
the North American Securities Administrators Association
ORGANIZATION6 w/ UBS·5 w/ The
Civil Penalty
ORGANIZATION5 w/ UBS·5 w/ The
General State of NY
ORGANIZATION5 w/ UBS·5 w/ The