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Document Mentions (5 shared documents)
2 mentions1 same-page
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from the SEC settlement 4. Date of Action: Dec. 22, 2008 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 perman
formation about certain disciplinary matters relating to the AlphaKeys Funds and the UBS Funds (collectively, the Funds), our parent company UBS AG, UBS Fund Advisor LLC (the Funds' Member Designee, Managing Member or Administrator), UBS Financial Services, Inc. (the Funds' Distributor), as well as certa
2 mentions1 same-page
Page ?Same page
from the SEC settlement 4. Date of Action: Dec. 22, 2008 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 perman
formation about certain disciplinary matters relating to the AlphaKeys Funds and the UBS Funds (collectively, the Funds), our parent company UBS AG, UBS Fund Advisor LLC (the Funds' Member Designee, Managing Member or Administrator), UBS Financial Services, Inc. (the Funds' Distributor), as well as certa
2 mentions1 same-page
Page ?Same page
d from the SEC settlement 4. Date of Action: Dec. 22, 2008 &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 perman
formation about certain disciplinary matters relating to the AlphaKeys Funds and the UBS Funds (collectively, the Funds), our parent company UBS AG, UBS Fund Advisor LLC (the Funds' Member Designee, Managing Member or Administrator), UBS Financial Services, Inc. (the Funds' Distributor), as well as certa
Sponsored
2 mentions1 same-page
Page ?Same page
d from the SEC settlement 4. Date of Action: Dec. 22, 2008 &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 perman
formation about certain disciplinary matters relating to the AlphaKeys Funds and the UBS Funds (collectively, the Funds), our parent company UBS AG, UBS Fund Advisor LLC (the Funds' Member Designee, Managing Member or Administrator), UBS Financial Services, Inc. (the Funds' Distributor), as well as certa
2 mentions1 same-page
Page ?Same page
d from the SEC settlement 4. Date of Action: Dec. 22, 2008 &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 perman
formation about certain disciplinary matters relating to the AlphaKeys Funds and the UBS Funds (collectively, the Funds), our parent company UBS AG, UBS Fund Advisor LLC (the Funds' Member Designee, Managing Member or Administrator), UBS Financial Services, Inc. (the Funds' Distributor), as well as certa
Sponsored
Mutual Connections (138)
Entities connected to both New York State and UBS Fund
New York
LOCATION233 w/ New·4 w/ UBS
United States
LOCATION178 w/ New·8 w/ UBS
Ghislaine Maxwell
PERSON138 w/ New·7 w/ UBS
Department of Justice
ORGANIZATION114 w/ New·7 w/ UBS
Samantha Power
PERSON116 w/ New·5 w/ UBS
Marc Rich
PERSON58 w/ New·3 w/ UBS
the State of New York
LOCATION51 w/ New·2 w/ UBS
Wilmington
LOCATION39 w/ New·3 w/ UBS
Ralph Lauren
PERSON31 w/ New·2 w/ UBS
the Securities and Exchange Commission
ORGANIZATION24 w/ New·8 w/ UBS
JPMorgan Chase
ORGANIZATION26 w/ New·3 w/ UBS
Tokyo
LOCATION22 w/ New·3 w/ UBS
Internal Revenue Service
ORGANIZATION18 w/ New·5 w/ UBS
U.S. Treasury
ORGANIZATION20 w/ New·2 w/ UBS
Federal Reserve
ORGANIZATION14 w/ New·8 w/ UBS
New Hampshire
LOCATION17 w/ New·5 w/ UBS
the Internal Revenue Service
ORGANIZATION19 w/ New·2 w/ UBS
the District of Columbia
LOCATION19 w/ New·2 w/ UBS
Mohammed bin Salman
PERSON18 w/ New·3 w/ UBS
NM
Nadia Marcinkova
PERSON16 w/ New·2 w/ UBS