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Document Mentions (6 shared documents)
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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
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
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
Act Section 15(c) regarding the marketing and sale of Auction Rate Securities. Disposkion: Cease & Desist INunction; CMI Penalty; Consent Judgment Cease & Desist, and Fines in varying amounts currently being paid m all 50 states. UBS Financial Seances Inc. (together with UBS Securities LLC) agreed to pay a fi
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
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
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
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
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
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
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
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 (133)
Entities connected to both New York State and Cease & Desist
New York
LOCATION233 w/ New·3 w/ Cease
United States
LOCATION178 w/ New·6 w/ Cease
Ghislaine Maxwell
PERSON138 w/ New·6 w/ Cease
Department of Justice
ORGANIZATION114 w/ New·7 w/ Cease
Samantha Power
PERSON116 w/ New·4 w/ Cease
Marc Rich
PERSON58 w/ New·3 w/ Cease
the State of New York
LOCATION51 w/ New·2 w/ Cease
Wilmington
LOCATION39 w/ New·3 w/ Cease
Ralph Lauren
PERSON31 w/ New·2 w/ Cease
the Securities and Exchange Commission
ORGANIZATION24 w/ New·8 w/ Cease
JPMorgan Chase
ORGANIZATION26 w/ New·3 w/ Cease
Tokyo
LOCATION22 w/ New·3 w/ Cease
Internal Revenue Service
ORGANIZATION18 w/ New·6 w/ Cease
New Hampshire
LOCATION17 w/ New·6 w/ Cease
Mohammed bin Salman
PERSON18 w/ New·3 w/ Cease
Federal Reserve
ORGANIZATION14 w/ New·7 w/ Cease
NM
Nadia Marcinkova
PERSON16 w/ New·2 w/ Cease
UBS Securities LLC
ORGANIZATION8 w/ New·8 w/ Cease
Cayman
LOCATION12 w/ New·3 w/ Cease
Lehman
ORGANIZATION8 w/ New·6 w/ Cease