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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
eports with the SEC. These reports are available through the SEC's EDGAR database, which can be accessed through the SEC's web site (www.sec.gov). Broker-Dealer and Other Similar Registrations. Millennium has in the past had a broker-dealer entity registered under the Exchange Act and may in the future have
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
eports with the SEC. These reports are available through the SEC's EDGAR database, which can be accessed through the SEC's web site (www.sec.gov). Broker-Dealer and Other Similar Registrations. Millennium has in the past had a broker-dealer entity registered under the Exchange Act and may in the future have
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
eports with the SEC. These reports are available through the SEC's EDGAR database, which can be accessed through the SEC's web site (www.sec.gov). Broker-Dealer and Other Similar Registrations. Millennium has in the past had a broker-dealer entity registered under the Exchange Act and may in the future have
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Mutual Connections (126)
Entities connected to both UBS Securities LLC and Broker-Dealer
UBS AG
ORGANIZATION14 w/ UBS·3 w/ Broker-Dealer
Federal Reserve
ORGANIZATION10 w/ UBS·3 w/ Broker-Dealer
United States
LOCATION10 w/ UBS·3 w/ Broker-Dealer
the Securities and Exchange Commission
ORGANIZATION9 w/ UBS·3 w/ Broker-Dealer
Department of Justice
ORGANIZATION8 w/ UBS·3 w/ Broker-Dealer
New York State
LOCATION8 w/ UBS·3 w/ Broker-Dealer
Cease & Desist
ORGANIZATION8 w/ UBS·3 w/ Broker-Dealer
Lehman
ORGANIZATION7 w/ UBS·3 w/ Broker-Dealer
UBS Fund
ORGANIZATION7 w/ UBS·3 w/ Broker-Dealer
Brought
ORGANIZATION7 w/ UBS·3 w/ Broker-Dealer
The Ohio Division of Securities
ORGANIZATION7 w/ UBS·3 w/ Broker-Dealer
Ghislaine Maxwell
PERSON8 w/ UBS·2 w/ Broker-Dealer
Fannie Mae
ORGANIZATION7 w/ UBS·3 w/ Broker-Dealer
Massachusetts Securities Division
ORGANIZATION6 w/ UBS·3 w/ Broker-Dealer
Internal Revenue Service
ORGANIZATION6 w/ UBS·3 w/ Broker-Dealer
Dept. of
ORGANIZATION6 w/ UBS·3 w/ Broker-Dealer
New Hampshire
LOCATION6 w/ UBS·3 w/ Broker-Dealer
New York
LOCATION6 w/ UBS·3 w/ Broker-Dealer
Lehman Structured Products
ORGANIZATION6 w/ UBS·3 w/ Broker-Dealer
the North American Securities Administrators Association
ORGANIZATION6 w/ UBS·3 w/ Broker-Dealer