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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
eports with the SEC. These reports are available through the SEC's EDGAR database, which can be accessed through the SEC's web site (www.sec.gov). Broker-Dealer and Other Similar Registrations. Millennium has in the past had a broker-dealer entity registered under the Exchange Act and may in the future have
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
eports with the SEC. These reports are available through the SEC's EDGAR database, which can be accessed through the SEC's web site (www.sec.gov). Broker-Dealer and Other Similar Registrations. Millennium has in the past had a broker-dealer entity registered under the Exchange Act and may in the future have
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
eports with the SEC. These reports are available through the SEC's EDGAR database, which can be accessed through the SEC's web site (www.sec.gov). Broker-Dealer and Other Similar Registrations. Millennium has in the past had a broker-dealer entity registered under the Exchange Act and may in the future have
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Mutual Connections (128)
Entities connected to both New York State and Broker-Dealer
New York
LOCATION233 w/ New·3 w/ Broker-Dealer
United States
LOCATION178 w/ New·3 w/ Broker-Dealer
Ghislaine Maxwell
PERSON138 w/ New·2 w/ Broker-Dealer
Samantha Power
PERSON116 w/ New·3 w/ Broker-Dealer
Department of Justice
ORGANIZATION114 w/ New·3 w/ Broker-Dealer
Marc Rich
PERSON58 w/ New·3 w/ Broker-Dealer
the State of New York
LOCATION51 w/ New·2 w/ Broker-Dealer
Wilmington
LOCATION39 w/ New·3 w/ Broker-Dealer
Supreme Court
ORGANIZATION31 w/ New·2 w/ Broker-Dealer
JPMorgan Chase
ORGANIZATION26 w/ New·3 w/ Broker-Dealer
the Securities and Exchange Commission
ORGANIZATION24 w/ New·3 w/ Broker-Dealer
Tokyo
LOCATION22 w/ New·3 w/ Broker-Dealer
Internal Revenue Service
ORGANIZATION18 w/ New·3 w/ Broker-Dealer
Mohammed bin Salman
PERSON18 w/ New·3 w/ Broker-Dealer
New Hampshire
LOCATION17 w/ New·3 w/ Broker-Dealer
Federal Reserve
ORGANIZATION14 w/ New·3 w/ Broker-Dealer
Cayman
LOCATION12 w/ New·3 w/ Broker-Dealer
UBS Securities LLC
ORGANIZATION8 w/ New·3 w/ Broker-Dealer
England
LOCATION8 w/ New·3 w/ Broker-Dealer
Lehman
ORGANIZATION8 w/ New·3 w/ Broker-Dealer