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Document Mentions (5 shared documents)
2 mentions1 same-page
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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,
Allegations: violations of 34 Act Section 15(c) regarding the marketing and sale of Auction Rate Securities. Disposition: Cease & Desist Injunction; Civil Penalty; Consent Judgment Cease & Desist, and Fines in varying amounts currently being paid to all 50 states. UBS Financial Services Inc. (together with UB
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,
Allegations: Violations of 34 Act Section 15(c) regarding the marketing and sale of Auction Rate Securities. Disposition: Cease & Desist Injunction; Civil Penalty; Consent Judgment Cease & Desist, and Fines in varying amounts currently being paid to all 50 states. UBS Financial Services Inc. (together with UB
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
Allegations: Violations of 34 Act Section 15(c) regarding the marketing and sale of Auction Rate Securities. Disposition: Cease & Desist Injunction; Civil Penalty; Consent Judgment Cease & Desist, and Fines in varying amounts currently being paid to all 50 states. UBS Financial Services Inc. (together with UB
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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,
Allegations: Violations of 34 Act Section 15(c) regarding the marketing and sale of Auction Rate Securities. Disposition: Cease & Desist Injunction; Civil Penalty; Consent Judgment Cease & Desist, and Fines in varying amounts currently being paid to all 50 states. UBS Financial Services Inc. (together with UB
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,
Allegations: Violations of 34 Act Section 15(c) regarding the marketing and sale of Auction Rate Securities. Disposition: Cease & Desist Injunction; Civil Penalty; Consent Judgment Cease & Desist, and Fines in varying amounts currently being paid to all 50 states. UBS Financial Services Inc. (together with UB
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Mutual Connections (130)
Entities connected to both Internal Revenue Service and Civil Penalty
United States
LOCATION40 w/ Internal·4 w/ Civil
Department of Justice
ORGANIZATION35 w/ Internal·5 w/ Civil
Ghislaine Maxwell
PERSON34 w/ Internal·4 w/ Civil
Samantha Power
PERSON25 w/ Internal·4 w/ Civil
Marc Rich
PERSON23 w/ Internal·3 w/ Civil
New York State
LOCATION18 w/ Internal·5 w/ Civil
New York
LOCATION20 w/ Internal·3 w/ Civil
the State of New York
LOCATION19 w/ Internal·2 w/ Civil
the Securities and Exchange Commission
ORGANIZATION15 w/ Internal·5 w/ Civil
UBS AG
ORGANIZATION13 w/ Internal·5 w/ Civil
Federal Reserve
ORGANIZATION10 w/ Internal·5 w/ Civil
New Hampshire
LOCATION9 w/ Internal·5 w/ Civil
Lehman
ORGANIZATION8 w/ Internal·5 w/ Civil
Fannie Mae
ORGANIZATION7 w/ Internal·5 w/ Civil
the North American Securities Administrators Association
ORGANIZATION6 w/ Internal·5 w/ Civil
Massachusetts Securities Division
ORGANIZATION6 w/ Internal·5 w/ Civil
Dept. of
ORGANIZATION6 w/ Internal·5 w/ Civil
Lehman Structured Products
ORGANIZATION6 w/ Internal·5 w/ Civil
Parent Company
ORGANIZATION6 w/ Internal·5 w/ Civil
UBS Securities LLC
ORGANIZATION6 w/ Internal·5 w/ Civil