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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
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
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
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
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
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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United States
LOCATION16 w/ the·4 w/ Civil
Samantha Power
PERSON10 w/ the·4 w/ Civil
the State of New York
LOCATION9 w/ the·2 w/ Civil
Cayman
LOCATION8 w/ the·3 w/ Civil
New York
LOCATION8 w/ the·3 w/ Civil
Wilmington
LOCATION7 w/ the·3 w/ Civil
the Securities and Exchange Commission
ORGANIZATION5 w/ the·5 w/ Civil
Department of Justice
ORGANIZATION4 w/ the·5 w/ Civil
Ghislaine Maxwell
PERSON5 w/ the·4 w/ Civil
The Ohio Division of Securities
ORGANIZATION3 w/ the·5 w/ Civil
Back Taxes Payment
ORGANIZATION3 w/ the·5 w/ Civil
Swiss Federal Banking Commission
ORGANIZATION3 w/ the·5 w/ Civil
New York State
LOCATION3 w/ the·5 w/ Civil
Internal Revenue Service
ORGANIZATION3 w/ the·5 w/ Civil
New Hampshire
LOCATION3 w/ the·5 w/ Civil
Restated Limited Liability Company Agreement
ORGANIZATION5 w/ the·3 w/ Civil
Lehman
ORGANIZATION3 w/ the·5 w/ Civil
UBS Securities LLC
ORGANIZATION3 w/ the·5 w/ Civil
UBS Fund
ORGANIZATION3 w/ the·5 w/ Civil
Lehman Structured Products
ORGANIZATION3 w/ the·5 w/ Civil