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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
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 UBS Securities LLC) agreed to pay a
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
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 UBS Securities LLC) agreed to pay a
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
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 UBS Securities LLC) agreed to pay a
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Mutual Connections (126)
Entities connected to both the Confidential Information and Cease & Desist
United States
LOCATION16 w/ the·6 w/ Cease
Samantha Power
PERSON10 w/ the·4 w/ Cease
the Securities and Exchange Commission
ORGANIZATION5 w/ the·8 w/ Cease
Department of Justice
ORGANIZATION4 w/ the·7 w/ Cease
UBS Securities LLC
ORGANIZATION3 w/ the·8 w/ Cease
New York
LOCATION8 w/ the·3 w/ Cease
Cayman
LOCATION8 w/ the·3 w/ Cease
Ghislaine Maxwell
PERSON5 w/ the·6 w/ Cease
the State of New York
LOCATION9 w/ the·2 w/ Cease
Wilmington
LOCATION7 w/ the·3 w/ Cease
Federal Reserve
ORGANIZATION3 w/ the·7 w/ Cease
UBS AG
ORGANIZATION3 w/ the·7 w/ Cease
Fannie Mae
ORGANIZATION3 w/ the·7 w/ Cease
UBS Fund
ORGANIZATION3 w/ the·7 w/ Cease
Lehman
ORGANIZATION3 w/ the·6 w/ Cease
Lehman Structured Products
ORGANIZATION3 w/ the·6 w/ Cease
Massachusetts Securities Division
ORGANIZATION3 w/ the·6 w/ Cease
the North American Securities Administrators Association
ORGANIZATION3 w/ the·6 w/ Cease
New York State
LOCATION3 w/ the·6 w/ Cease
Internal Revenue Service
ORGANIZATION3 w/ the·6 w/ Cease