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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
books as of the first day of each Fiscal Period. The Fund Percentage of a Member for a Fiscal Period shall be determined by dividing the balance of the Member's Capital Account as of the commencement of such Fiscal Period by the sum of the Capital Accounts of all of the Members as of the commencement of such Fiscal Period.
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
books as of the first day of each Fiscal Period. The Fund Percentage of a Member for a Fiscal Period shall be determined by dividing the balance of the Member's Capital Account as of the commencement of such Fiscal Period by the sum of the Capital Accounts of all of the Members as of the commencement of such Fiscal Period.
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
books as of the first day of each Fiscal Period. The Fund Percentage of a Member for a Fiscal Period shall be determined by dividing the balance of the Member's Capital Account as of the commencement of such Fiscal Period by the sum of the Capital Accounts of all of the Members as of the commencement of such Fiscal Period.
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Mutual Connections (126)
Entities connected to both UBS Securities LLC and the Member's Capital Account
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