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Entity. UBS AG On 19 December 2012, UBS AG entered into settlements with the US Department of Justice (Dal), UK Financial Services Authority, and the Commodity Futures Trading Commission (CFTC) in connection with their investigations of manipulation of LIBOR and other benchmark interest rates. The Swiss Financial Market Supervisory A
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
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C Entity: UBS AG On 19 December 2012, UBS AG entered into settlements with the US Department of Justice (DOD, UK Financial Services Authority, and the Commodity Futures Trading Commission (CFTC) in connection with their investigations of manipulation of LIBOR and other benchmark interest rates. The Swiss Financial Market Supervisory A
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
Entity. UBS AG On 19 December 2012, UBS AG entered into settlements with the US Department of Justice (00J), UK Financial Services Authority, and the Commodity Futures Trading Commission (CFTC) in connection with their investigations of manipulation of LIBOR and other benchmark interest rates. The Swiss Financial Market Supervisory A
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 (48)
Entities connected to both the Commodity Futures Trading Commission and Civil Penalty
United States
LOCATION11 w/ the·4 w/ Civil
Ghislaine Maxwell
PERSON9 w/ the·4 w/ Civil
Samantha Power
PERSON8 w/ the·4 w/ Civil
Federal Reserve
ORGANIZATION6 w/ the·5 w/ Civil
Internal Revenue Service
ORGANIZATION5 w/ the·5 w/ Civil
Lehman
ORGANIZATION5 w/ the·5 w/ Civil
New York State
LOCATION5 w/ the·5 w/ Civil
the Securities and Exchange Commission
ORGANIZATION4 w/ the·5 w/ Civil
Department of Justice
ORGANIZATION4 w/ the·5 w/ Civil
Massachusetts Securities Division
ORGANIZATION3 w/ the·5 w/ Civil
Fannie Mae
ORGANIZATION3 w/ the·5 w/ Civil
New Hampshire
LOCATION3 w/ the·5 w/ Civil
UBS AG
ORGANIZATION3 w/ the·5 w/ Civil
UBS Securities LLC
ORGANIZATION3 w/ the·5 w/ Civil
New York
LOCATION5 w/ the·3 w/ Civil
the Financial Advisor's
ORGANIZATION3 w/ the·5 w/ Civil
Parent Company
ORGANIZATION3 w/ the·5 w/ Civil
Dept. of
ORGANIZATION3 w/ the·5 w/ Civil
UBS Fund
ORGANIZATION3 w/ the·5 w/ Civil
Lehman Structured Products
ORGANIZATION3 w/ the·5 w/ Civil