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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
S25M penalty, S25M as disgorgement, S25M to be used for procurement of independent research and S5M for investor education. Fines varied by State. Financial Advisors of UBS Financial Services, Inc. 8. Date of Action: February 2, 2010 Entity: Individual Financial Advisor Brought By: State of Nevada Details: State
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
S25M penalty, S25M as disgorgement, S25M to be used for procurement of independent research and $5M for investor education. Fines varied by State. Financial Advisors of UBS Financial Services, Inc. 8. Date of Action: February 2, 2010 Entity: Individual Financial Advisor Brought By: State of Nevada Details: State
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
S25M penalty, S25M as disgorgement, S25M to be used for procurement of independent research and $5M for investor education. Fines varied by State. Financial Advisors of UBS Financial Services, Inc. 8. Date of Action: February 2, 2010 Entity: Individual Financial Advisor Brought By: State of Nevada Details: State
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Entities connected to both Department of Justice and Financial Advisors of
United States
LOCATION1,116 w/ Department·3 w/ Financial
Ghislaine Maxwell
PERSON917 w/ Department·3 w/ Financial
New York
LOCATION473 w/ Department·2 w/ Financial
Marc Rich
PERSON295 w/ Department·2 w/ Financial
Samantha Power
PERSON233 w/ Department·3 w/ Financial
New York State
LOCATION114 w/ Department·3 w/ Financial
New Hampshire
LOCATION110 w/ Department·3 w/ Financial
the Securities and Exchange Commission
ORGANIZATION88 w/ Department·3 w/ Financial
Federal Reserve
ORGANIZATION63 w/ Department·3 w/ Financial
Mohammed bin Salman
PERSON56 w/ Department·2 w/ Financial
Wilmington
LOCATION48 w/ Department·2 w/ Financial
JPMorgan Chase
ORGANIZATION44 w/ Department·2 w/ Financial
Tokyo
LOCATION40 w/ Department·2 w/ Financial
Internal Revenue Service
ORGANIZATION35 w/ Department·3 w/ Financial
the State of New York
LOCATION25 w/ Department·2 w/ Financial
UBS AG
ORGANIZATION21 w/ Department·3 w/ Financial
the U.S. Department of Labor
ORGANIZATION18 w/ Department·2 w/ Financial
Lehman
ORGANIZATION13 w/ Department·3 w/ Financial
Fannie Mae
ORGANIZATION9 w/ Department·3 w/ Financial
UBS Securities LLC
ORGANIZATION8 w/ Department·3 w/ Financial