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ORGANIZATIONthe North American Securities Administrators Association
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tion 16. Date of Action: December 12, 2012 Brought By. FSA, FINMA, CFTC Entity. UBS AG On 19 December 2012, UBS AG entered into settlements with the US Department of Justice (Dal), UK Financial Services Authority, and the Commodity Futures Trading Commission (CFTC) in connection with their investigations of manipulation of L
Brought By. Securities and Exchange Commission (SEC). Massachusetts Securities Division, New York State Attorney General (NYAG) and other members of the North American Securities Administrators Association. Auction Rate Securities (ARS): UBS is permanently enjoined from violations of the broker/dealer anti-fraud provisions. Allegations: violations of
2 mentions1 same-page
Page ?Same page
lion 13. Date of Action: December 12, 2012 Brought By: FSA, FINMA, CFTC Entity: UBS AG On 19 December 2012, UBS AG entered into settlements with the US Department of Justice (DOD, UK Financial Services Authority, and the Commodity Futures Trading Commission (CFTC) in connection with their investigations of manipulation o
Brought By: Securities and Exchange Commission (SEC), Massachusetts Securities Division, New York State Attorney General (NYAG) and other members of the North American Securities Administrators Association. Auction Rate Securities (ARS): UBS is permanently enjoined from violations of the broker/dealer anti-fraud provisions. Allegations: Violations of
2 mentions1 same-page
Page ?Same page
lion 13. Date of Action: December 12, 2012 Brought By: FSA. FINMA, CFTC Entity. UBS AG On 19 December 2012, UBS AG entered into settlements with the US Department of Justice (00J), UK Financial Services Authority, and the Commodity Futures Trading Commission (CFTC) in connection with their investigations of manipulation
&ought By: Securities and Exchange Commission (SEC), Massachusetts Securities Division, New York State Attorney General (NYAG) and other members of the North American Securities Administrators Association. Auction Rate Securities (ARS): UBS is permanently enjoined from violations of the broker/dealer anti-fraud provisions. Allegations: Violations of
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2 mentions1 same-page
Page ?Same page
lion 13. Date of Action: December 12, 2012 Brought By: FSA. FINMA, CFTC Entity. UBS AG On 19 December 2012, UBS AG entered into settlements with the US Department of Justice (00J), UK Financial Services Authority, and the Commodity Futures Trading Commission (CFTC) in connection with their investigations of manipulation
&ought By: Securities and Exchange Commission (SEC), Massachusetts Securities Division, New York State Attorney General (NYAG) and other members of the North American Securities Administrators Association. Auction Rate Securities (ARS): UBS is permanently enjoined from violations of the brokeridealer anti-fraud provisions. Allegations: Violations of
2 mentions1 same-page
Page ?Same page
lion 13. Date of Action: December 12, 2012 Brought By: ESA. FINMA, CFTC Entity. UBS AG On 19 December 2012, UBS AG entered into settlements with the US Department of Justice (00J), UK Financial Services Authority, and the Commodity Futures Trading Commission (CFTC) in connection with their investigations of manipulation
&ought By: Securities and Exchange Commission (SEC), Massachusetts Securities Division, New York State Attorney General (NYAG) and other members of the North American Securities Administrators Association. Auction Rate Securities (ARS): UBS is permanently enjoined from violations of the brokeridealer anti-fraud provisions. Allegations: Violations of
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Mutual Connections (130)
Entities connected to both Department of Justice and the North American Securities Administrators Association
United States
LOCATION1,116 w/ Department·4 w/ the
Ghislaine Maxwell
PERSON917 w/ Department·4 w/ the
New York
LOCATION473 w/ Department·3 w/ the
Marc Rich
PERSON295 w/ Department·3 w/ the
Samantha Power
PERSON233 w/ Department·4 w/ the
New York State
LOCATION114 w/ Department·6 w/ the
New Hampshire
LOCATION110 w/ Department·6 w/ the
the Securities and Exchange Commission
ORGANIZATION88 w/ Department·6 w/ the
Federal Reserve
ORGANIZATION63 w/ Department·5 w/ the
Mohammed bin Salman
PERSON56 w/ Department·3 w/ the
Wilmington
LOCATION48 w/ Department·3 w/ the
JPMorgan Chase
ORGANIZATION44 w/ Department·3 w/ the
Tokyo
LOCATION40 w/ Department·3 w/ the
Internal Revenue Service
ORGANIZATION35 w/ Department·6 w/ the
the State of New York
LOCATION25 w/ Department·2 w/ the
UBS AG
ORGANIZATION21 w/ Department·5 w/ the
the U.S. Department of Labor
ORGANIZATION18 w/ Department·3 w/ the
Lehman
ORGANIZATION13 w/ Department·6 w/ the
UBS Securities LLC
ORGANIZATION8 w/ Department·6 w/ the
Fannie Mae
ORGANIZATION9 w/ Department·5 w/ the