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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
provide the Fund with reduced fee arrangements or an interest in the asset-based and performance-based compensation generated from other sources by the applicable Portfolio Managers. Millennium may negotiate any other appropriate return-enhancing or other arrangements in its sole discretion. Strategy Development There are no
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
provide the Fund with reduced fee arrangements or an interest in the asset-based and performance-based compensation generated from other sources by the applicable Portfolio Managers. Millennium may negotiate any other appropriate return-enhancing or other arrangements in its sole discretion. Strategy Development There are no
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
provide the Fund with reduced fee arrangements or an interest in the asset-based and performance-based compensation generated from other sources by the applicable Portfolio Managers. Millennium may negotiate any other appropriate return-enhancing or other arrangements in its sole discretion. Strategy Development There are no
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Mutual Connections (126)
Entities connected to both UBS Securities LLC and the applicable Portfolio Managers
UBS AG
ORGANIZATION14 w/ UBS·3 w/ the
Federal Reserve
ORGANIZATION10 w/ UBS·3 w/ the
United States
LOCATION10 w/ UBS·3 w/ the
the Securities and Exchange Commission
ORGANIZATION9 w/ UBS·3 w/ the
Department of Justice
ORGANIZATION8 w/ UBS·3 w/ the
New York State
LOCATION8 w/ UBS·3 w/ the
Cease & Desist
ORGANIZATION8 w/ UBS·3 w/ the
Lehman
ORGANIZATION7 w/ UBS·3 w/ the
UBS Fund
ORGANIZATION7 w/ UBS·3 w/ the
Brought
ORGANIZATION7 w/ UBS·3 w/ the
The Ohio Division of Securities
ORGANIZATION7 w/ UBS·3 w/ the
Ghislaine Maxwell
PERSON8 w/ UBS·2 w/ the
Fannie Mae
ORGANIZATION7 w/ UBS·3 w/ the
Massachusetts Securities Division
ORGANIZATION6 w/ UBS·3 w/ the
Internal Revenue Service
ORGANIZATION6 w/ UBS·3 w/ the
Dept. of
ORGANIZATION6 w/ UBS·3 w/ the
New Hampshire
LOCATION6 w/ UBS·3 w/ the
New York
LOCATION6 w/ UBS·3 w/ the
Lehman Structured Products
ORGANIZATION6 w/ UBS·3 w/ the
the North American Securities Administrators Association
ORGANIZATION6 w/ UBS·3 w/ the