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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
Section 15(c) regarding the marketing and sale of Auction Rate Securities. Disposition: Cease & Desist Injunction; Civil Penalty; 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
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ISPOSMON MONETARY SmcnoNs 1 December 12, 2012 FSA, FINMA, CFTC Entity: UBS AG On 19 December 2012, UBS AG entered into settlements with the US Department of Justice (DO)), UK Financial Services Authority, and the Commodity Futures Trading Commission (CFTC) in connection with their investigations of manipulat
and did not file with the National Futures Association the commodity pools' annual reports in a timely manner or deliver to pool participants. Cease & Desist from violating Regulation 4.7(b)(3)(i) and CFR 4.7(b)(3)(0(2008) and pay a civil penalty Civil Penalty: $50,000 5 February 2009 SEC and
2 mentions1 same-page
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ISPOSMON MONETARY SmcnoNs 1 December 12, 2012 FSA, FINMA, CFTC Entity: UBS AG On 19 December 2012, UBS AG entered into settlements with the US Department of Justice (DO)), UK Financial Services Authority, and the Commodity Futures Trading Commission (CFTC) in connection with their investigations of manipulat
and did not file with the National Futures Association the commodity pools' annual reports in a timely manner or deliver to pool participants. Cease & Desist from violating Regulation 4.7(b)(3)(0 and CFR 4.7(b)(3)(0(2008) and pay a civil penalty Civil Penalty: $50,000 5 February 2009 SEC and U
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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
Section 15(c) regarding the marketing and sale of Auction Rate Securities. Disposition: Cease & Desist Injunction; Civil Penalty; 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
2 mentions1 same-page
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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
Section 15(c) regarding the marketing and sale of Auction Rate Securities. Disposition: Cease & Desist Injunction; Civil Penalty; 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
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
Section 15(c) regarding the marketing and sale of Auction Rate Securities. Disposition: Cease & Desist Injunction; Civil Penalty; 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
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2 mentions1 same-page
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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
Section 15(c) regarding the marketing and sale of Auction Rate Securities. Disposition: Cease & Desist Injunction; Civil Penalty; 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
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Mutual Connections (179)
Entities connected to both Department of Justice and Cease & Desist
United States
LOCATION1,116 w/ Department·6 w/ Cease
Ghislaine Maxwell
PERSON917 w/ Department·6 w/ Cease
New York
LOCATION473 w/ Department·3 w/ Cease
Marc Rich
PERSON295 w/ Department·3 w/ Cease
Samantha Power
PERSON233 w/ Department·4 w/ Cease
New York State
LOCATION114 w/ Department·6 w/ Cease
New Hampshire
LOCATION110 w/ Department·6 w/ Cease
the Securities and Exchange Commission
ORGANIZATION88 w/ Department·8 w/ Cease
NM
Nadia Marcinkova
PERSON78 w/ Department·2 w/ Cease
Ralph Lauren
PERSON73 w/ Department·2 w/ Cease
Federal Reserve
ORGANIZATION63 w/ Department·7 w/ Cease
Mohammed bin Salman
PERSON56 w/ Department·3 w/ Cease
Wilmington
LOCATION48 w/ Department·3 w/ Cease
JPMorgan Chase
ORGANIZATION44 w/ Department·3 w/ Cease
Tokyo
LOCATION40 w/ Department·3 w/ Cease
Internal Revenue Service
ORGANIZATION35 w/ Department·6 w/ Cease
UBS AG
ORGANIZATION21 w/ Department·7 w/ Cease
the State of New York
LOCATION25 w/ Department·2 w/ Cease
the U.S. Department of Labor
ORGANIZATION18 w/ Department·3 w/ Cease
Lehman
ORGANIZATION13 w/ Department·6 w/ Cease