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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
S25M penalty, S25M as disgorgement, S25M to be used for procurement of independent research and S5M for investor education. Fines varied by State. Financial Advisors of UBS Financial Services, Inc. 8. Date of Action: February 2, 2010 Entity: Individual Financial Advisor Brought By: State of Nevada Details: State
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
S25M penalty, S25M as disgorgement, S25M to be used for procurement of independent research and $5M for investor education. Fines varied by State. Financial Advisors of UBS Financial Services, Inc. 8. Date of Action: February 2, 2010 Entity: Individual Financial Advisor Brought By: State of Nevada Details: State
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
S25M penalty, S25M as disgorgement, S25M to be used for procurement of independent research and $5M for investor education. Fines varied by State. Financial Advisors of UBS Financial Services, Inc. 8. Date of Action: February 2, 2010 Entity: Individual Financial Advisor Brought By: State of Nevada Details: State
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Entities connected to both New York State and Financial Advisors of
New York
LOCATION233 w/ New·2 w/ Financial
United States
LOCATION178 w/ New·3 w/ Financial
Ghislaine Maxwell
PERSON138 w/ New·3 w/ Financial
Samantha Power
PERSON116 w/ New·3 w/ Financial
Department of Justice
ORGANIZATION114 w/ New·3 w/ Financial
Marc Rich
PERSON58 w/ New·2 w/ Financial
the State of New York
LOCATION51 w/ New·2 w/ Financial
Wilmington
LOCATION39 w/ New·2 w/ Financial
JPMorgan Chase
ORGANIZATION26 w/ New·2 w/ Financial
the Securities and Exchange Commission
ORGANIZATION24 w/ New·3 w/ Financial
Tokyo
LOCATION22 w/ New·2 w/ Financial
Internal Revenue Service
ORGANIZATION18 w/ New·3 w/ Financial
New Hampshire
LOCATION17 w/ New·3 w/ Financial
Mohammed bin Salman
PERSON18 w/ New·2 w/ Financial
Federal Reserve
ORGANIZATION14 w/ New·3 w/ Financial
Cayman
LOCATION12 w/ New·2 w/ Financial
Lehman
ORGANIZATION8 w/ New·3 w/ Financial
UBS Securities LLC
ORGANIZATION8 w/ New·3 w/ Financial
England
LOCATION8 w/ New·2 w/ Financial
Cease & Desist
ORGANIZATION6 w/ New·3 w/ Financial