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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
terminate cross-border business serving private clients out on non SEC registered entities. Disposition: Disgorgement (5200,000,000 is to the SEC); Back Taxes Payment, Monetary Sanctions: 5380,000,000; 5400,000,000 16. Date of Action: December 2008 Brought By: Swiss Federal Banking Commission Allegations: The
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
terminate cross-border business serving private clients out on non SEC registered entities. Disposition: Disgorgement (5200,000,000 is to the SEC); Back Taxes Payment, Monetary Sanctions: 5380,000,000; 5400,000,000 16. Date of Action: December 2008 Brought By: Swiss Federal Banking Commission Allegations: The
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
terminate cross-border business serving private clients out on non SEC registered entities. Disposition: Disgorgement (5200,000,000 is to the SEC); Back Taxes Payment, Monetary Sanctions: 5380,000,000; 5400,000,000 16. Date of Action: December 2008 Brought By: Swiss Federal Banking Commission Allegations: The
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Mutual Connections (126)
Entities connected to both the Positive Basis and Back Taxes Payment
the Securities and Exchange Commission
ORGANIZATION4 w/ the·5 w/ Back
Samantha Power
PERSON5 w/ the·4 w/ Back
Parent Company
ORGANIZATION3 w/ the·5 w/ Back
Dept. of
ORGANIZATION3 w/ the·5 w/ Back
UBS Securities LLC
ORGANIZATION3 w/ the·5 w/ Back
Fannie Mae
ORGANIZATION3 w/ the·5 w/ Back
the Financial Advisor's
ORGANIZATION3 w/ the·5 w/ Back
The Ohio Division of Securities
ORGANIZATION3 w/ the·5 w/ Back
Swiss Federal Banking Commission
ORGANIZATION3 w/ the·5 w/ Back
Federal Reserve
ORGANIZATION3 w/ the·5 w/ Back
Lehman
ORGANIZATION3 w/ the·5 w/ Back
New Hampshire
LOCATION3 w/ the·5 w/ Back
Department of Justice
ORGANIZATION3 w/ the·5 w/ Back
New York State
LOCATION3 w/ the·5 w/ Back
Internal Revenue Service
ORGANIZATION3 w/ the·5 w/ Back
UBS AG
ORGANIZATION3 w/ the·5 w/ Back
UBS Fund
ORGANIZATION3 w/ the·5 w/ Back
Lehman Structured Products
ORGANIZATION3 w/ the·5 w/ Back
Massachusetts Securities Division
ORGANIZATION3 w/ the·5 w/ Back
the North American Securities Administrators Association
ORGANIZATION3 w/ the·5 w/ Back