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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
ation 60 (11 NYCRR 51.5). 10. Date of Action: May 12, 2000 Entity: Individual Financial Advisor Brought By. Ohio Division of Securities Details: The Ohio Division of Securities issued a final order to deny the Financial Advisor's application for a securities sales cerson license. ML281837-MAXWELL Page 3 of 4 CONFIDENTIAL
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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
tion 60 (11 NYCRR 51.5). 11. Date of Action: May 12, 2000 Entity: Individual Financial Advisor Brought By: Ohio Division of Securities Details: The Ohio Division of Securities issued a final order to deny the Financial Advisor's application for a securities sales person license. ER30 378-MAXWELL Page 3 of 4 CONFIDENTIAL
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
tion 60 (11 NYCRR 51.5). 11. Date of Action: May 12, 2000 Entity: Individual Financial Advisor Brought By: Ohio Division of Securities Details: The Ohio Division of Securities issued a final order to deny the Financial Advisor's application for a securities sales person license. Page 3 of 4 CONFI DENTIAL UBSTERFtAMAR000
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Mutual Connections (49)
Entities connected to both the Commodity Futures Trading Commission and The Ohio Division of Securities
United States
LOCATION11 w/ the·4 w/ The
Ghislaine Maxwell
PERSON9 w/ the·4 w/ The
Samantha Power
PERSON8 w/ the·4 w/ The
Federal Reserve
ORGANIZATION6 w/ the·5 w/ The
Internal Revenue Service
ORGANIZATION5 w/ the·5 w/ The
Brought
ORGANIZATION3 w/ the·7 w/ The
New York State
LOCATION5 w/ the·5 w/ The
Lehman
ORGANIZATION5 w/ the·5 w/ The
UBS Securities LLC
ORGANIZATION3 w/ the·7 w/ The
Department of Justice
ORGANIZATION4 w/ the·5 w/ The
the Securities and Exchange Commission
ORGANIZATION4 w/ the·5 w/ The
Lehman Structured Products
ORGANIZATION3 w/ the·5 w/ The
Fannie Mae
ORGANIZATION3 w/ the·5 w/ The
New Hampshire
LOCATION3 w/ the·5 w/ The
UBS AG
ORGANIZATION3 w/ the·5 w/ The
New York
LOCATION5 w/ the·3 w/ The
the Financial Advisor's
ORGANIZATION3 w/ the·5 w/ The
Parent Company
ORGANIZATION3 w/ the·5 w/ The
Dept. of
ORGANIZATION3 w/ the·5 w/ The
UBS Fund
ORGANIZATION3 w/ the·5 w/ The