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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
ments with the SEC, the IRS, the DOJ and a group of State Attorneys General regarding investigations into the conduct of certain former employees in UBS Financial Services' former municipal reinvestment and derivatives group from 2001 to 2006. Allegations included violations of: Section 15(c)(1XA) of the Securities Exc
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,
ments with the SEC, the IRS, the DOJ and a group of State Attorneys General regarding investigations into the conduct of certain former employees in UBS Financial Services' former municipal reinvestment and derivatives group from 2001 to 2006. Allegations included violations of: Section 15(c)(1XA) of the Securities Exc
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,
ments with the SEC, the IRS, the D01 and a group of State Attorneys General regarding investigations into the conduct of certain former employees in UBS Financial Services' former municipal reinvestment and derivatives group from 2001 to 2006. Allegations included violations of: Section 15(c)(1XA) of the Securities Exc
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Mutual Connections (126)
Entities connected to both Internal Revenue Service and UBS Financial Services'
United States
LOCATION40 w/ Internal·3 w/ UBS
Department of Justice
ORGANIZATION35 w/ Internal·3 w/ UBS
Ghislaine Maxwell
PERSON34 w/ Internal·2 w/ UBS
Samantha Power
PERSON25 w/ Internal·3 w/ UBS
Marc Rich
PERSON23 w/ Internal·3 w/ UBS
New York
LOCATION20 w/ Internal·3 w/ UBS
the State of New York
LOCATION19 w/ Internal·2 w/ UBS
New York State
LOCATION18 w/ Internal·3 w/ UBS
the Securities and Exchange Commission
ORGANIZATION15 w/ Internal·3 w/ UBS
UBS AG
ORGANIZATION13 w/ Internal·3 w/ UBS
Federal Reserve
ORGANIZATION10 w/ Internal·3 w/ UBS
New Hampshire
LOCATION9 w/ Internal·3 w/ UBS
Lehman
ORGANIZATION8 w/ Internal·3 w/ UBS
Wilmington
LOCATION7 w/ Internal·3 w/ UBS
Fannie Mae
ORGANIZATION7 w/ Internal·3 w/ UBS
the Delaware Limited Liability Company Act
ORGANIZATION7 w/ Internal·3 w/ UBS
Dept. of
ORGANIZATION6 w/ Internal·3 w/ UBS
Massachusetts Securities Division
ORGANIZATION6 w/ Internal·3 w/ UBS
Lehman Structured Products
ORGANIZATION6 w/ Internal·3 w/ UBS
the North American Securities Administrators Association
ORGANIZATION6 w/ Internal·3 w/ UBS