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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
y loans or other similar arrangements to facilitate the Fund's investment activities, including in other jurisdictions, in the future. Compliance, Legal and Ethics Oversight (CLEO) Committee The CLEO Committee is responsible for reviewing firm-wide compliance, legal and ethics issues throughout Millennium's business as
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
y loans or other similar arrangements to facilitate the Fund's investment activities, including in other jurisdictions, in the future. Compliance, Legal and Ethics Oversight (CLEO) Committee The CLEO Committee is responsible for reviewing firm-wide compliance, legal and ethics issues throughout Millennium's business as
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
y loans or other similar arrangements to facilitate the Fund's investment activities, including in other jurisdictions, in the future. Compliance, Legal and Ethics Oversight (CLEO) Committee The CLEO Committee is responsible for reviewing firm-wide compliance, legal and ethics issues throughout Millennium's business as
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Mutual Connections (126)
Entities connected to both UBS Securities LLC and Legal and Ethics Oversight
UBS AG
ORGANIZATION14 w/ UBS·3 w/ Legal
Federal Reserve
ORGANIZATION10 w/ UBS·3 w/ Legal
United States
LOCATION10 w/ UBS·3 w/ Legal
the Securities and Exchange Commission
ORGANIZATION9 w/ UBS·3 w/ Legal
Department of Justice
ORGANIZATION8 w/ UBS·3 w/ Legal
New York State
LOCATION8 w/ UBS·3 w/ Legal
Cease & Desist
ORGANIZATION8 w/ UBS·3 w/ Legal
Lehman
ORGANIZATION7 w/ UBS·3 w/ Legal
UBS Fund
ORGANIZATION7 w/ UBS·3 w/ Legal
Brought
ORGANIZATION7 w/ UBS·3 w/ Legal
The Ohio Division of Securities
ORGANIZATION7 w/ UBS·3 w/ Legal
Ghislaine Maxwell
PERSON8 w/ UBS·2 w/ Legal
Fannie Mae
ORGANIZATION7 w/ UBS·3 w/ Legal
Massachusetts Securities Division
ORGANIZATION6 w/ UBS·3 w/ Legal
Internal Revenue Service
ORGANIZATION6 w/ UBS·3 w/ Legal
Dept. of
ORGANIZATION6 w/ UBS·3 w/ Legal
New Hampshire
LOCATION6 w/ UBS·3 w/ Legal
New York
LOCATION6 w/ UBS·3 w/ Legal
Lehman Structured Products
ORGANIZATION6 w/ UBS·3 w/ Legal
the North American Securities Administrators Association
ORGANIZATION6 w/ UBS·3 w/ Legal