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ager to review any transactions that require approval under the Advisers Act, including Section 206(3) thereunder, or otherwise. Delaware Act means the Delaware Limited Liability Company Act (6 Del.C. § 18-101 et seq.) as in effect on the date hereof and as amended from time to time, or any successor law. ERISA means the Employee Retire
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
ager to review any transactions that require approval under the Advisers Act, including Section 206(3) thereunder, or otherwise. Delaware Act means the Delaware Limited Liability Company Act (6 Del.C. § 18-101 et seq.) as in effect on the date hereof and as amended from time to time, or any successor law. ERISA means the Employee Retire
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
ager to review any transactions that require approval under the Advisers Act, including Section 206(3) thereunder, or otherwise. Delaware Act means the Delaware Limited Liability Company Act (6 Del.C. § 18-101 et seq.) as in effect on the date hereof and as amended from time to time, or any successor law. ERISA means the Employee Retire
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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Mutual Connections (126)
Entities connected to both the Delaware Limited Liability Company Act and Civil Penalty
Internal Revenue Service
ORGANIZATION7 w/ the·5 w/ Civil
United States
LOCATION6 w/ the·4 w/ Civil
Department of Justice
ORGANIZATION4 w/ the·5 w/ Civil
UBS Securities LLC
ORGANIZATION4 w/ the·5 w/ Civil
New York
LOCATION6 w/ the·3 w/ Civil
New York State
LOCATION4 w/ the·5 w/ Civil
the Certificate of Formation
ORGANIZATION6 w/ the·3 w/ Civil
General State of NY
ORGANIZATION3 w/ the·5 w/ Civil
Brought
ORGANIZATION3 w/ the·5 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
Federal Reserve
ORGANIZATION3 w/ the·5 w/ Civil
Lehman
ORGANIZATION3 w/ the·5 w/ Civil
UBS Fund
ORGANIZATION3 w/ the·5 w/ Civil
Lehman Structured Products
ORGANIZATION3 w/ the·5 w/ Civil
Massachusetts Securities Division
ORGANIZATION3 w/ the·5 w/ Civil
the North American Securities Administrators Association
ORGANIZATION3 w/ the·5 w/ Civil
Cease & Desist
ORGANIZATION3 w/ the·5 w/ Civil
New Hampshire
LOCATION3 w/ the·5 w/ Civil