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e "OriginalAgreement") WHEREAS, the Original Agreement was subsequently amended and restated in its entirety as of March 1, 2011 by the Amended and Restated Limited Liability Company Agreement of the Fund (the "Amended Agreement"); WHEREAS, the Amended Agreement was subsequently amended and restated in its entirety as of April 1, 2014 by
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
"Original Agreement") WHEREAS, the Original Agreement was subsequently amended and restated in its entirety as of March 1, 2011 by the Amended and Restated Limited Liability Company Agreement of the Fund (the "Amended Agreement"); WHEREAS, the Fund's Certificate was amended to reflect the change of the name of the Fund to "AlphaKeys Mil
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
"Original Agreement") WHEREAS, the Original Agreement was subsequently amended and restated in its entirety as of March 1, 2011 by the Amended and Restated Limited Liability Company Agreement of the Fund (the "Amended Agreement"); WHEREAS, the Fund's Certificate was amended to reflect the change of the name of the Fund to "AlphaKeys Mil
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 Restated Limited Liability Company Agreement and Cease & Desist
United States
LOCATION7 w/ Restated·6 w/ Cease
the Securities and Exchange Commission
ORGANIZATION4 w/ Restated·8 w/ Cease
UBS Securities LLC
ORGANIZATION3 w/ Restated·8 w/ Cease
New York
LOCATION7 w/ Restated·3 w/ Cease
Department of Justice
ORGANIZATION3 w/ Restated·7 w/ Cease
Federal Reserve
ORGANIZATION3 w/ Restated·7 w/ Cease
UBS Fund
ORGANIZATION3 w/ Restated·7 w/ Cease
UBS AG
ORGANIZATION3 w/ Restated·7 w/ Cease
Fannie Mae
ORGANIZATION3 w/ Restated·7 w/ Cease
Lehman Structured Products
ORGANIZATION3 w/ Restated·6 w/ Cease
Massachusetts Securities Division
ORGANIZATION3 w/ Restated·6 w/ Cease
the North American Securities Administrators Association
ORGANIZATION3 w/ Restated·6 w/ Cease
Lehman
ORGANIZATION3 w/ Restated·6 w/ Cease
New Hampshire
LOCATION3 w/ Restated·6 w/ Cease
New York State
LOCATION3 w/ Restated·6 w/ Cease
Internal Revenue Service
ORGANIZATION3 w/ Restated·6 w/ Cease
Dept. of
ORGANIZATION3 w/ Restated·6 w/ Cease
Swiss Federal Banking Commission
ORGANIZATION3 w/ Restated·5 w/ Cease
Civil Penalty
ORGANIZATION3 w/ Restated·5 w/ Cease
General State of NY
ORGANIZATION3 w/ Restated·5 w/ Cease