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ministrative fine of 5100,000; Investigation costs of 5200,000; Administrative payment of 5700,000 3. Date of Action: May 4, 2011 Brought By: SEC, Internal Revenue Service (IRS), Dept. of Justice (DOA State Attorney General of 24 States UBS AG and UBS Financial Services Inc. reached settlements with the SEC, the IRS, t
y Withdrawal Charge shall have the meaning set forth in Section 4.3(c)(ii) hereof. Fee means a fee paid to the Administrator, as provided for in the Administrative Services Agreement. FINR4 means the Financial Industry Regulatory Authority, Inc. Fiscal Period means the period commencing on the Closing Date, and therea
2 mentions1 same-page
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ministrative fine of 5100,000; Investigation costs of 5200,000; Administrative payment of 5700,000 3. Date of Action: May 4, 2011 Brought By: SEC, Internal Revenue Service (IRS), Dept. of Justice (D01), State Attorney General of 24 States UBS AG and UBS Financial Services Inc. reached settlements with the SEC, the IRS,
Early Withdrawal Charge shall have the meaning set forth in Section 4.3(e) hereof. Fee means a fee paid to the Administrator, as provided for in the Administrative Services Agreement. FINRA means the Financial Industry Regulatory Authority, Inc. Fiscal Period means the period commencing on the Closing Date, and therea
2 mentions1 same-page
Page ?Same page
ministrative fine of 5100,000; Investigation costs of 5200,000; Administrative payment of 5700,000 3. Date of Action: May 4, 2011 Brought By: SEC, Internal Revenue Service (IRS), Dept. of Justice (D01), State Attorney General of 24 States UBS AG and UBS Financial Services Inc. reached settlements with the SEC, the IRS,
Early Withdrawal Charge shall have the meaning set forth in Section 4.3(e) hereof. Fee means a fee paid to the Administrator, as provided for in the Administrative Services Agreement. FINRA means the Financial Industry Regulatory Authority, Inc. Fiscal Period means the period commencing on the Closing Date, and therea
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Entities connected to both Internal Revenue Service and Administrative Services
U.S. Treasury
ORGANIZATION44 w/ Internal·3 w/ Administrative
United States
LOCATION40 w/ Internal·6 w/ Administrative
Ghislaine Maxwell
PERSON34 w/ Internal·4 w/ Administrative
Department of Justice
ORGANIZATION35 w/ Internal·3 w/ Administrative
Samantha Power
PERSON25 w/ Internal·3 w/ Administrative
New York
LOCATION20 w/ Internal·6 w/ Administrative
Marc Rich
PERSON23 w/ Internal·3 w/ Administrative
the State of New York
LOCATION19 w/ Internal·3 w/ Administrative
New York State
LOCATION18 w/ Internal·3 w/ Administrative
Philadelphia
LOCATION17 w/ Internal·2 w/ Administrative
the Securities and Exchange Commission
ORGANIZATION15 w/ Internal·4 w/ Administrative
UBS AG
ORGANIZATION13 w/ Internal·6 w/ Administrative
Federal Reserve
ORGANIZATION10 w/ Internal·5 w/ Administrative
New Hampshire
LOCATION9 w/ Internal·3 w/ Administrative
the Internal Revenue Service
ORGANIZATION9 w/ Internal·3 w/ Administrative
Cayman Islands
LOCATION9 w/ Internal·2 w/ Administrative
Lehman
ORGANIZATION8 w/ Internal·3 w/ Administrative
Cayman
LOCATION5 w/ Internal·6 w/ Administrative
Ernst & Young LLP
ORGANIZATION4 w/ Internal·6 w/ Administrative
the Delaware Limited Liability Company Act
ORGANIZATION7 w/ Internal·3 w/ Administrative