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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
o 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 other Members in such manner as shall equitably reflect the amounts allocated to such Members' Capital Accounts pursuant to Sections 5.3(c)
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
o 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 other Members in such manner as shall equitably reflect the amounts allocated to such Members' Capital Accounts pursuant to Sections 5.3(c)
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
o 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 other Members in such manner as shall equitably reflect the amounts allocated to such Members' Capital Accounts pursuant to Sections 5.3(c)
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Mutual Connections (126)
Entities connected to both New York State and Negative Basis Members
New York
LOCATION233 w/ New·3 w/ Negative
United States
LOCATION178 w/ New·3 w/ Negative
Ghislaine Maxwell
PERSON138 w/ New·2 w/ Negative
Samantha Power
PERSON116 w/ New·3 w/ Negative
Department of Justice
ORGANIZATION114 w/ New·3 w/ Negative
Marc Rich
PERSON58 w/ New·3 w/ Negative
the State of New York
LOCATION51 w/ New·2 w/ Negative
Wilmington
LOCATION39 w/ New·3 w/ Negative
JPMorgan Chase
ORGANIZATION26 w/ New·3 w/ Negative
the Securities and Exchange Commission
ORGANIZATION24 w/ New·3 w/ Negative
Tokyo
LOCATION22 w/ New·3 w/ Negative
Internal Revenue Service
ORGANIZATION18 w/ New·3 w/ Negative
Mohammed bin Salman
PERSON18 w/ New·3 w/ Negative
New Hampshire
LOCATION17 w/ New·3 w/ Negative
Federal Reserve
ORGANIZATION14 w/ New·3 w/ Negative
Cayman
LOCATION12 w/ New·3 w/ Negative
England
LOCATION8 w/ New·3 w/ Negative
UBS Securities LLC
ORGANIZATION8 w/ New·3 w/ Negative
Lehman
ORGANIZATION8 w/ New·3 w/ Negative
Millennium
ORGANIZATION7 w/ New·3 w/ Negative