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the Confidential Information
ORGANIZATIONthe North American Securities Administrators Association
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er covenants that, except as required by applicable law or any regulatory body, it will not divulge, furnish or make accessible to any other person the Confidential Information without the prior written consent of the Manager, which consent may be withheld in its sole discretion. (b) Each Member recognizes that in the eve
&ought By: Securities and Exchange Commission (SEC), Massachusetts Securities Division, New York State Attorney General (NYAG) and other members of the North American Securities Administrators Association. Auction Rate Securities (ARS): UBS is permanently enjoined from violations of the broker/dealer anti-fraud provisions. Allegations: Violations of
2 mentions1 same-page
Page ?Same page
er covenants that, except as required by applicable law or any regulatory body, it will not divulge, furnish or make accessible to any other person the Confidential Information without the prior written consent of the Manager, which consent may be withheld in its sole discretion. (b) Each Member recognizes that in the eve
&ought By: Securities and Exchange Commission (SEC), Massachusetts Securities Division, New York State Attorney General (NYAG) and other members of the North American Securities Administrators Association. Auction Rate Securities (ARS): UBS is permanently enjoined from violations of the brokeridealer anti-fraud provisions. Allegations: Violations of
2 mentions1 same-page
Page ?Same page
er covenants that, except as required by applicable law or any regulatory body, it will not divulge, furnish or make accessible to any other person the Confidential Information without the prior written consent of the Manager, which consent may be withheld in its sole discretion. (b) Each Member recognizes that in the eve
&ought By: Securities and Exchange Commission (SEC), Massachusetts Securities Division, New York State Attorney General (NYAG) and other members of the North American Securities Administrators Association. Auction Rate Securities (ARS): UBS is permanently enjoined from violations of the brokeridealer anti-fraud provisions. Allegations: Violations of
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Entities connected to both the Confidential Information and the North American Securities Administrators Association
United States
LOCATION16 w/ the·4 w/ the
Samantha Power
PERSON10 w/ the·4 w/ the
the Securities and Exchange Commission
ORGANIZATION5 w/ the·6 w/ the
the State of New York
LOCATION9 w/ the·2 w/ the
Cayman
LOCATION8 w/ the·3 w/ the
New York
LOCATION8 w/ the·3 w/ the
Wilmington
LOCATION7 w/ the·3 w/ the
Dept. of
ORGANIZATION3 w/ the·6 w/ the
Internal Revenue Service
ORGANIZATION3 w/ the·6 w/ the
New York State
LOCATION3 w/ the·6 w/ the
Cease & Desist
ORGANIZATION3 w/ the·6 w/ the
UBS Securities LLC
ORGANIZATION3 w/ the·6 w/ the
Department of Justice
ORGANIZATION4 w/ the·5 w/ the
Lehman
ORGANIZATION3 w/ the·6 w/ the
Lehman Structured Products
ORGANIZATION3 w/ the·6 w/ the
New Hampshire
LOCATION3 w/ the·6 w/ the
Massachusetts Securities Division
ORGANIZATION3 w/ the·6 w/ the
Ghislaine Maxwell
PERSON5 w/ the·4 w/ the
Fannie Mae
ORGANIZATION3 w/ the·5 w/ the
UBS Fund
ORGANIZATION3 w/ the·5 w/ the