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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
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
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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
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
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
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 Delaware Limited Liability Company Act and Cease & Desist
Internal Revenue Service
ORGANIZATION7 w/ the·6 w/ Cease
UBS Securities LLC
ORGANIZATION4 w/ the·8 w/ Cease
United States
LOCATION6 w/ the·6 w/ Cease
the Securities and Exchange Commission
ORGANIZATION3 w/ the·8 w/ Cease
Department of Justice
ORGANIZATION4 w/ the·7 w/ Cease
Fannie Mae
ORGANIZATION3 w/ the·7 w/ Cease
UBS Fund
ORGANIZATION3 w/ the·7 w/ Cease
New York State
LOCATION4 w/ the·6 w/ Cease
UBS AG
ORGANIZATION3 w/ the·7 w/ Cease
Federal Reserve
ORGANIZATION3 w/ the·7 w/ Cease
Dept. of
ORGANIZATION3 w/ the·6 w/ Cease
the Certificate of Formation
ORGANIZATION6 w/ the·3 w/ Cease
Ghislaine Maxwell
PERSON3 w/ the·6 w/ Cease
Lehman
ORGANIZATION3 w/ the·6 w/ Cease
the North American Securities Administrators Association
ORGANIZATION3 w/ the·6 w/ Cease
Massachusetts Securities Division
ORGANIZATION3 w/ the·6 w/ Cease
New Hampshire
LOCATION3 w/ the·6 w/ Cease
Lehman Structured Products
ORGANIZATION3 w/ the·6 w/ Cease
New York
LOCATION6 w/ the·3 w/ Cease
Civil Penalty
ORGANIZATION3 w/ the·5 w/ Cease