Back to Network
4
Shared Docs
4
Same-Page
4 / 4
Mentions
Document Mentions (4 shared documents)
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
, and the Connecticut Department of Banking in connection with their investigations of the global foreign exchange markets. The Federal Reserve and the Connecticut Department of Banking jointly issued an order finding that UBS AG engaged in unsafe and unsound banking practices related to its FX business. Pursuant to the terms of 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
, and the Connecticut Department of Banking in connection with their investigations of the global foreign exchange markets. The Federal Reserve and the Connecticut Department of Banking jointly issued an order finding that UBS AG engaged in unsafe and unsound banking practices related to its FX business. Pursuant to the terms of 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
, and the Connecticut Department of Banking in connection with their investigations of the global foreign exchange markets. The Federal Reserve and the Connecticut Department of Banking jointly issued an order finding that UBS AG engaged in unsafe and unsound banking practices related to its FX business. Pursuant to the terms of the
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
, and the Connecticut Department of Banking in connection with their investigations of the global foreign exchange markets. The Federal Reserve and the Connecticut Department of Banking jointly issued an order finding that UBS AG engaged in unsafe and unsound banking practices related to its FX business. Pursuant to the terms of the
Sponsored
Mutual Connections (127)
Entities connected to both New York State and the Connecticut Department of Banking
New York
LOCATION233 w/ New·3 w/ the
United States
LOCATION178 w/ New·4 w/ the
Ghislaine Maxwell
PERSON138 w/ New·3 w/ the
Samantha Power
PERSON116 w/ New·4 w/ the
Department of Justice
ORGANIZATION114 w/ New·4 w/ the
Marc Rich
PERSON58 w/ New·3 w/ the
the State of New York
LOCATION51 w/ New·2 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·4 w/ the
Tokyo
LOCATION22 w/ New·3 w/ the
Internal Revenue Service
ORGANIZATION18 w/ New·4 w/ the
New Hampshire
LOCATION17 w/ New·4 w/ the
Mohammed bin Salman
PERSON18 w/ New·3 w/ the
Federal Reserve
ORGANIZATION14 w/ New·4 w/ the
Cayman
LOCATION12 w/ New·3 w/ the
UBS Securities LLC
ORGANIZATION8 w/ New·4 w/ the
Lehman
ORGANIZATION8 w/ New·4 w/ the
England
LOCATION8 w/ New·3 w/ the
Lehman Structured Products
ORGANIZATION6 w/ New·4 w/ the