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Document Mentions (6 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
8 million plus $20 million credited 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
2 mentions1 same-page
Page ?Same page
from the SEC settlement 3. 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
.8 minion plus $20 million credited from the SEC settlement 3. 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
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
8 million plus $20 million credited 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
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
.8 million plus $20 million credited 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
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
.8 million plus $20 million credited 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
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
.8 million plus $20 million credited 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
Sponsored
Mutual Connections (130)
Entities connected to both New York State and Massachusetts Securities Division
New York
LOCATION233 w/ New·3 w/ Massachusetts
United States
LOCATION178 w/ New·4 w/ Massachusetts
Ghislaine Maxwell
PERSON138 w/ New·4 w/ Massachusetts
Samantha Power
PERSON116 w/ New·4 w/ Massachusetts
Department of Justice
ORGANIZATION114 w/ New·5 w/ Massachusetts
Marc Rich
PERSON58 w/ New·3 w/ Massachusetts
the State of New York
LOCATION51 w/ New·2 w/ Massachusetts
Wilmington
LOCATION39 w/ New·3 w/ Massachusetts
the Securities and Exchange Commission
ORGANIZATION24 w/ New·6 w/ Massachusetts
JPMorgan Chase
ORGANIZATION26 w/ New·3 w/ Massachusetts
Tokyo
LOCATION22 w/ New·3 w/ Massachusetts
Internal Revenue Service
ORGANIZATION18 w/ New·6 w/ Massachusetts
New Hampshire
LOCATION17 w/ New·6 w/ Massachusetts
Mohammed bin Salman
PERSON18 w/ New·3 w/ Massachusetts
Federal Reserve
ORGANIZATION14 w/ New·5 w/ Massachusetts
Cayman
LOCATION12 w/ New·3 w/ Massachusetts
Lehman
ORGANIZATION8 w/ New·6 w/ Massachusetts
UBS Securities LLC
ORGANIZATION8 w/ New·6 w/ Massachusetts
Dept. of
ORGANIZATION6 w/ New·6 w/ Massachusetts
the North American Securities Administrators Association
ORGANIZATION6 w/ New·6 w/ Massachusetts