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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
, and the Connecticut Department of Banking in connection with their investigations of the global foreign exchange markets. The Federal Reserve and the Connecticut Department of Banking jointly issued an order finding that UBS AG engaged in unsafe and unsound banking practices related to its FX business. Pursuant to the terms of the
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
, and the Connecticut Department of Banking in connection with their investigations of the global foreign exchange markets. The Federal Reserve and the Connecticut Department of Banking jointly issued an order finding that UBS AG engaged in unsafe and unsound banking practices related to its FX business. Pursuant to the terms of the
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
, and the Connecticut Department of Banking in connection with their investigations of the global foreign exchange markets. The Federal Reserve and the Connecticut Department of Banking jointly issued an order finding that UBS AG engaged in unsafe and unsound banking practices related to its FX business. Pursuant to the terms of the
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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
, and the Connecticut Department of Banking in connection with their investigations of the global foreign exchange markets. The Federal Reserve and the Connecticut Department of Banking jointly issued an order finding that UBS AG engaged in unsafe and unsound banking practices related to its FX business. Pursuant to the terms of the
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Mutual Connections (127)
Entities connected to both UBS Securities LLC and the Connecticut Department of Banking
UBS AG
ORGANIZATION14 w/ UBS·4 w/ the
United States
LOCATION10 w/ UBS·4 w/ the
Federal Reserve
ORGANIZATION10 w/ UBS·4 w/ the
the Securities and Exchange Commission
ORGANIZATION9 w/ UBS·4 w/ the
New York State
LOCATION8 w/ UBS·4 w/ the
Cease & Desist
ORGANIZATION8 w/ UBS·4 w/ the
Department of Justice
ORGANIZATION8 w/ UBS·4 w/ the
The Ohio Division of Securities
ORGANIZATION7 w/ UBS·4 w/ the
Lehman
ORGANIZATION7 w/ UBS·4 w/ the
UBS Fund
ORGANIZATION7 w/ UBS·4 w/ the
Fannie Mae
ORGANIZATION7 w/ UBS·4 w/ the
Ghislaine Maxwell
PERSON8 w/ UBS·3 w/ the
Brought
ORGANIZATION7 w/ UBS·4 w/ the
Massachusetts Securities Division
ORGANIZATION6 w/ UBS·4 w/ the
the North American Securities Administrators Association
ORGANIZATION6 w/ UBS·4 w/ the
Internal Revenue Service
ORGANIZATION6 w/ UBS·4 w/ the
New Hampshire
LOCATION6 w/ UBS·4 w/ the
Dept. of
ORGANIZATION6 w/ UBS·4 w/ the
Lehman Structured Products
ORGANIZATION6 w/ UBS·4 w/ the
the Financial Advisor's
ORGANIZATION5 w/ UBS·4 w/ the