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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 (D08, State Attorney General of 24 States UBS AG and UBS Financial Services Inc. reached settlements with the SEC, the IRS,
S25M penalty, S25M as disgorgement, S25M to be used for procurement of independent research and S5M for investor education. Fines varied by State. Financial Advisors of UBS Financial Services, Inc. 8. Date of Action: February 2, 2010 Entity: Individual Financial Advisor Brought By: State of Nevada Details: State
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,
S25M penalty, S25M as disgorgement, S25M to be used for procurement of independent research and $5M for investor education. Fines varied by State. Financial Advisors of UBS Financial Services, Inc. 8. Date of Action: February 2, 2010 Entity: Individual Financial Advisor Brought By: State of Nevada Details: State
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,
S25M penalty, S25M as disgorgement, S25M to be used for procurement of independent research and $5M for investor education. Fines varied by State. Financial Advisors of UBS Financial Services, Inc. 8. Date of Action: February 2, 2010 Entity: Individual Financial Advisor Brought By: State of Nevada Details: State
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Mutual Connections (126)
Entities connected to both Internal Revenue Service and Financial Advisors of
United States
LOCATION40 w/ Internal·3 w/ Financial
Department of Justice
ORGANIZATION35 w/ Internal·3 w/ Financial
Ghislaine Maxwell
PERSON34 w/ Internal·3 w/ Financial
Samantha Power
PERSON25 w/ Internal·3 w/ Financial
Marc Rich
PERSON23 w/ Internal·2 w/ Financial
New York
LOCATION20 w/ Internal·2 w/ Financial
the State of New York
LOCATION19 w/ Internal·2 w/ Financial
New York State
LOCATION18 w/ Internal·3 w/ Financial
the Securities and Exchange Commission
ORGANIZATION15 w/ Internal·3 w/ Financial
UBS AG
ORGANIZATION13 w/ Internal·3 w/ Financial
Federal Reserve
ORGANIZATION10 w/ Internal·3 w/ Financial
New Hampshire
LOCATION9 w/ Internal·3 w/ Financial
Lehman
ORGANIZATION8 w/ Internal·3 w/ Financial
Fannie Mae
ORGANIZATION7 w/ Internal·3 w/ Financial
the North American Securities Administrators Association
ORGANIZATION6 w/ Internal·3 w/ Financial
the Delaware Limited Liability Company Act
ORGANIZATION7 w/ Internal·2 w/ Financial
UBS Securities LLC
ORGANIZATION6 w/ Internal·3 w/ Financial
Wilmington
LOCATION7 w/ Internal·2 w/ Financial
Cease & Desist
ORGANIZATION6 w/ Internal·3 w/ Financial
Parent Company
ORGANIZATION6 w/ Internal·3 w/ Financial