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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
terminate cross-border business serving private clients out on non SEC registered entities. Disposition: Disgorgement ($200,000,000 is to the SEC); Back Taxes Payment, Monetary Sanctions: 5380,000,000; $400,000,000 14. Date of Action: January 2011 Disposition: SIX Swiss Exchange Regulation OBS AG was fined for
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
terminate cross-border business serving private clients out on non SEC registered entities. Disposition: Disgorgement ($200,000,000 is to the SEC); Back Taxes Payment, Monetary Sanctions: $380,000,000; 5400,000,000 16. Date of Action: December 2008 Brought By: Swiss Federal Banking Commission Allegations: The
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
terminate cross-border business serving private clients out on non SEC registered entities. Disposition: Disgorgement (5200,000,000 is to the SEC); Back Taxes Payment, Monetary Sanctions: 5380,000,000; 5400,000,000 16. Date of Action: December 2008 Brought By: Swiss Federal Banking Commission Allegations: The
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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
terminate cross-border business serving private clients out on non SEC registered entities. Disposition: Disgorgement (5200,000,000 is to the SEC); Back Taxes Payment, Monetary Sanctions: 5380,000,000; 5400,000,000 16. Date of Action: December 2008 Brought By: Swiss Federal Banking Commission Allegations: The
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
terminate cross-border business serving private clients out on non SEC registered entities. Disposition: Disgorgement (5200,000,000 is to the SEC); Back Taxes Payment, Monetary Sanctions: 5380,000,000; 5400,000,000 16. Date of Action: December 2008 Brought By: Swiss Federal Banking Commission Allegations: The
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Mutual Connections (130)
Entities connected to both New York State and Back Taxes Payment
New York
LOCATION233 w/ New·3 w/ Back
United States
LOCATION178 w/ New·4 w/ Back
Ghislaine Maxwell
PERSON138 w/ New·4 w/ Back
Samantha Power
PERSON116 w/ New·4 w/ Back
Department of Justice
ORGANIZATION114 w/ New·5 w/ Back
Marc Rich
PERSON58 w/ New·3 w/ Back
the State of New York
LOCATION51 w/ New·2 w/ Back
Wilmington
LOCATION39 w/ New·3 w/ Back
the Securities and Exchange Commission
ORGANIZATION24 w/ New·5 w/ Back
JPMorgan Chase
ORGANIZATION26 w/ New·3 w/ Back
Tokyo
LOCATION22 w/ New·3 w/ Back
Internal Revenue Service
ORGANIZATION18 w/ New·5 w/ Back
New Hampshire
LOCATION17 w/ New·5 w/ Back
Mohammed bin Salman
PERSON18 w/ New·3 w/ Back
Federal Reserve
ORGANIZATION14 w/ New·5 w/ Back
Cayman
LOCATION12 w/ New·3 w/ Back
UBS Securities LLC
ORGANIZATION8 w/ New·5 w/ Back
Lehman
ORGANIZATION8 w/ New·5 w/ Back
Massachusetts Securities Division
ORGANIZATION6 w/ New·5 w/ Back
the North American Securities Administrators Association
ORGANIZATION6 w/ New·5 w/ Back