Back to Network
5
Shared Docs
5
Same-Page
5 / 5
Mentions
Document Mentions (5 shared documents)
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
Allegations: violations of 34 Act 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 UB
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
Allegations: Violations of 34 Act 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 UB
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
Allegations: Violations of 34 Act 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 UB
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
Allegations: Violations of 34 Act 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 UB
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
Allegations: Violations of 34 Act 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 UB
Sponsored
Mutual Connections (130)
Entities connected to both New York State and Civil Penalty
New York
LOCATION233 w/ New·3 w/ Civil
United States
LOCATION178 w/ New·4 w/ Civil
Ghislaine Maxwell
PERSON138 w/ New·4 w/ Civil
Samantha Power
PERSON116 w/ New·4 w/ Civil
Department of Justice
ORGANIZATION114 w/ New·5 w/ Civil
Marc Rich
PERSON58 w/ New·3 w/ Civil
the State of New York
LOCATION51 w/ New·2 w/ Civil
Wilmington
LOCATION39 w/ New·3 w/ Civil
the Securities and Exchange Commission
ORGANIZATION24 w/ New·5 w/ Civil
JPMorgan Chase
ORGANIZATION26 w/ New·3 w/ Civil
Tokyo
LOCATION22 w/ New·3 w/ Civil
Internal Revenue Service
ORGANIZATION18 w/ New·5 w/ Civil
New Hampshire
LOCATION17 w/ New·5 w/ Civil
Mohammed bin Salman
PERSON18 w/ New·3 w/ Civil
Federal Reserve
ORGANIZATION14 w/ New·5 w/ Civil
Cayman
LOCATION12 w/ New·3 w/ Civil
UBS Securities LLC
ORGANIZATION8 w/ New·5 w/ Civil
Lehman
ORGANIZATION8 w/ New·5 w/ Civil
Massachusetts Securities Division
ORGANIZATION6 w/ New·5 w/ Civil
the North American Securities Administrators Association
ORGANIZATION6 w/ New·5 w/ Civil