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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
follows: (i) to allocate such losses among such Negative Basis Members until either the full amount of such losses shall have been so allocated or the Negative Basis of each such Negative Basis Member shall have been eliminated and (ii) to allocate any losses not so allocated to Negative Basis Members to the oth
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
follows: (i) to allocate such losses among such Negative Basis Members until either the full amount of such losses shall have been so allocated or the Negative Basis of each such Negative Basis Member shall have been eliminated and (ii) to allocate any losses not so allocated to Negative Basis Members to the oth
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
follows: (i) to allocate such losses among such Negative Basis Members until either the full amount of such losses shall have been so allocated or the Negative Basis of each such Negative Basis Member shall have been eliminated and (ii) to allocate any losses not so allocated to Negative Basis Members to the oth
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Mutual Connections (126)
Entities connected to both New York State and the Negative Basis
New York
LOCATION233 w/ New·3 w/ the
United States
LOCATION178 w/ New·3 w/ the
Ghislaine Maxwell
PERSON138 w/ New·2 w/ the
Samantha Power
PERSON116 w/ New·4 w/ the
Department of Justice
ORGANIZATION114 w/ New·3 w/ the
Marc Rich
PERSON58 w/ New·3 w/ the
the State of New York
LOCATION51 w/ New·3 w/ the
Wilmington
LOCATION39 w/ New·3 w/ the
JPMorgan Chase
ORGANIZATION26 w/ New·3 w/ the
the Securities and Exchange Commission
ORGANIZATION24 w/ New·3 w/ the
Tokyo
LOCATION22 w/ New·3 w/ the
Internal Revenue Service
ORGANIZATION18 w/ New·3 w/ the
Mohammed bin Salman
PERSON18 w/ New·3 w/ the
New Hampshire
LOCATION17 w/ New·3 w/ the
Federal Reserve
ORGANIZATION14 w/ New·3 w/ the
Cayman
LOCATION12 w/ New·3 w/ the
UBS Securities LLC
ORGANIZATION8 w/ New·3 w/ the
England
LOCATION8 w/ New·3 w/ the
Lehman
ORGANIZATION8 w/ New·3 w/ the
Millennium
ORGANIZATION7 w/ New·3 w/ the