Back to Network
3
Shared Docs
3
Same-Page
3 / 3
Mentions
Document Mentions (3 shared documents)
2 mentions1 same-page
Page ?Same page
follows: (i) to allocate such income among such Positive Basis Members until either the full amount of such income shall have been so allocated or the Positive Basis of each such Positive Basis Member shall have been eliminated, and (ii) to allocate any income not so allocated to Positive Basis Members to the ot
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
follows: (i) to allocate such income among such Positive Basis Members until either the full amount of such income shall have been so allocated or the Positive Basis of each such Positive Basis Member shall have been eliminated, and (ii) to allocate any income not so allocated to Positive Basis Members to the ot
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
follows: (i) to allocate such income among such Positive Basis Members until either the full amount of such income shall have been so allocated or the Positive Basis of each such Positive Basis Member shall have been eliminated, and (ii) to allocate any income not so allocated to Positive Basis Members to the ot
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
Sponsored
Mutual Connections (126)
Entities connected to both the Positive Basis and Civil Penalty
the Securities and Exchange Commission
ORGANIZATION4 w/ the·5 w/ Civil
Samantha Power
PERSON5 w/ the·4 w/ Civil
Parent Company
ORGANIZATION3 w/ the·5 w/ Civil
Dept. of
ORGANIZATION3 w/ the·5 w/ Civil
UBS Securities LLC
ORGANIZATION3 w/ the·5 w/ Civil
Fannie Mae
ORGANIZATION3 w/ the·5 w/ Civil
the Financial Advisor's
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
New Hampshire
LOCATION3 w/ the·5 w/ Civil
Department of Justice
ORGANIZATION3 w/ the·5 w/ Civil
New York State
LOCATION3 w/ the·5 w/ Civil
Internal Revenue Service
ORGANIZATION3 w/ the·5 w/ Civil
UBS AG
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