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Document Mentions (5 shared documents)
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ministrative fine of $100,000; Investigation costs of S200,000; Administrative payment of $700,000 3. Date of Action: May 4, 2011 Brought By: SEC, Internal Revenue Service (IRS), Dept. of Justice (DOJ), State Attorney General of 24 States UBS AG and UBS Financial Services Inc reached settlements with the SEC. the IRS,
formation about certain disciplinary matters relating to the AlphaKeys Funds and the UBS Funds (collectively, the Funds), our parent company UBS AG, UBS Fund Advisor LLC (the Funds' Member Designee, Managing Member or Administrator), UBS Financial Services, Inc. (the Funds' Distributor), as well as certa
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 (D08, State Attorney General of 24 States UBS AG and UBS Financial Services Inc. reached settlements with the SEC, the IRS,
formation about certain disciplinary matters relating to the AlphaKeys Funds and the UBS Funds (collectively, the Funds), our parent company UBS AG, UBS Fund Advisor LLC (the Funds' Member Designee, Managing Member or Administrator), UBS Financial Services, Inc. (the Funds' Distributor), as well as certa
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 (DOA State Attorney General of 24 States UBS AG and UBS Financial Services Inc. reached settlements with the SEC, the IRS, t
formation about certain disciplinary matters relating to the AlphaKeys Funds and the UBS Funds (collectively, the Funds), our parent company UBS AG, UBS Fund Advisor LLC (the Funds' Member Designee, Managing Member or Administrator), UBS Financial Services, Inc. (the Funds' Distributor), as well as certa
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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,
formation about certain disciplinary matters relating to the AlphaKeys Funds and the UBS Funds (collectively, the Funds), our parent company UBS AG, UBS Fund Advisor LLC (the Funds' Member Designee, Managing Member or Administrator), UBS Financial Services, Inc. (the Funds' Distributor), as well as certa
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,
formation about certain disciplinary matters relating to the AlphaKeys Funds and the UBS Funds (collectively, the Funds), our parent company UBS AG, UBS Fund Advisor LLC (the Funds' Member Designee, Managing Member or Administrator), UBS Financial Services, Inc. (the Funds' Distributor), as well as certa
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Mutual Connections (141)
Entities connected to both Internal Revenue Service and UBS Fund
United States
LOCATION40 w/ Internal·8 w/ UBS
U.S. Treasury
ORGANIZATION44 w/ Internal·2 w/ UBS
Department of Justice
ORGANIZATION35 w/ Internal·7 w/ UBS
Ghislaine Maxwell
PERSON34 w/ Internal·7 w/ UBS
Samantha Power
PERSON25 w/ Internal·5 w/ UBS
Marc Rich
PERSON23 w/ Internal·3 w/ UBS
New York
LOCATION20 w/ Internal·4 w/ UBS
New York State
LOCATION18 w/ Internal·5 w/ UBS
the Securities and Exchange Commission
ORGANIZATION15 w/ Internal·8 w/ UBS
UBS AG
ORGANIZATION13 w/ Internal·9 w/ UBS
the State of New York
LOCATION19 w/ Internal·2 w/ UBS
Federal Reserve
ORGANIZATION10 w/ Internal·8 w/ UBS
New Hampshire
LOCATION9 w/ Internal·5 w/ UBS
Fannie Mae
ORGANIZATION7 w/ Internal·7 w/ UBS
UBS Securities LLC
ORGANIZATION6 w/ Internal·7 w/ UBS
Lehman
ORGANIZATION8 w/ Internal·5 w/ UBS
Cease & Desist
ORGANIZATION6 w/ Internal·7 w/ UBS
UBS Fund Advisor
ORGANIZATION6 w/ Internal·6 w/ UBS
the North American Securities Administrators Association
ORGANIZATION6 w/ Internal·5 w/ UBS
Dept. of
ORGANIZATION6 w/ Internal·5 w/ UBS