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Document Mentions (5 shared documents)
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ada Details: State of Nevada issued Final Order revoking the Financial Advisor's license to act as a sales representative on Feb. 2, 2010. UBS AG (Parent Company) 12. Date of Action: May 10, 2004 Entity. UBS AG Brought by: Federal Reserve Bank of New York Details: UBS engaged in U.S. Dollar banknote trans
Brought By. Securities and Exchange Commission (SEC). Massachusetts Securities Division, New York State Attorney General (NYAG) and other members of the North American Securities Administrators Association. Auction Rate Securities (ARS): UBS is permanently enjoined from violations of the broker/dealer anti-fraud provisions. Allegations: violations of
2 mentions1 same-page
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es person license. ER30 378-MAXWELL Page 3 of 4 CONFIDENTIAL UBSTERRAMAR00002087 EFTA00237718 Disclosure Statement under Rule 506(d) UBS AG (Parent Company) 12. Date of Action: May 20, 2015 Brought By: U.S. Department of Justice (DO;), the Board of Governors of the Federal Reserve, Connecticut Departm
Brought By: Securities and Exchange Commission (SEC), Massachusetts Securities Division, New York State Attorney General (NYAG) and other members of the North American Securities Administrators Association. Auction Rate Securities (ARS): UBS is permanently enjoined from violations of the broker/dealer anti-fraud provisions. Allegations: Violations of
2 mentions1 same-page
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se. Page 3 of 4 CONFI DENTIAL UBSTERFtAMAR00004122 EFTA00239454 FOR EXISTING INVESTOR USE ONLY Disclosure Statement under Rule 506(d) UBS AG (Parent Company) 12. Date of Action: May 20, 2015 Brought By: U.S. Department of Justice (D01), the Board of Governors of the Federal Reserve, Connecticut Departm
&ought By: Securities and Exchange Commission (SEC), Massachusetts Securities Division, New York State Attorney General (NYAG) and other members of the North American Securities Administrators Association. Auction Rate Securities (ARS): UBS is permanently enjoined from violations of the broker/dealer anti-fraud provisions. Allegations: Violations of
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se. "\.1.172-8-1-8 1 7-M A X ‘,/Wht. Page 3 of 4 CONFIDENTIAL UBSTERRAMAR00002515 EFTA00238071 Disclosure Statement under Rule 506(d) UBS AG (Parent Company) 12. Date of Action: May 20, 2015 Brought By: U.S. Department of Justice (D01), the Board of Governors of the Federal Reserve, Connecticut Departm
&ought By: Securities and Exchange Commission (SEC), Massachusetts Securities Division, New York State Attorney General (NYAG) and other members of the North American Securities Administrators Association. Auction Rate Securities (ARS): UBS is permanently enjoined from violations of the brokeridealer anti-fraud provisions. Allegations: Violations of
2 mentions1 same-page
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s person license. - rvi-A ><WVE L L Page 3 of 4 CONFIDENTIAL UBSTERRAMAR00001462 EFTA00237108 Disclosure Statement under Rule 506(d) UBS AG (Parent Company) 12. Date of Action: May 20, 2015 Brought By: U.S. Department of Justice (D01), the Board of Governors of the Federal Reserve, Connecticut Departm
&ought By: Securities and Exchange Commission (SEC), Massachusetts Securities Division, New York State Attorney General (NYAG) and other members of the North American Securities Administrators Association. Auction Rate Securities (ARS): UBS is permanently enjoined from violations of the brokeridealer anti-fraud provisions. Allegations: Violations of
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Mutual Connections (130)
Entities connected to both Parent Company and the North American Securities Administrators Association
New Hampshire
LOCATION7 w/ Parent·6 w/ the
Department of Justice
ORGANIZATION8 w/ Parent·5 w/ the
Internal Revenue Service
ORGANIZATION6 w/ Parent·6 w/ the
Lehman Structured Products
ORGANIZATION5 w/ Parent·6 w/ the
the Securities and Exchange Commission
ORGANIZATION5 w/ Parent·6 w/ the
Federal Reserve
ORGANIZATION6 w/ Parent·5 w/ the
UBS Securities LLC
ORGANIZATION5 w/ Parent·6 w/ the
Cease & Desist
ORGANIZATION5 w/ Parent·6 w/ the
Massachusetts Securities Division
ORGANIZATION5 w/ Parent·6 w/ the
New York State
LOCATION5 w/ Parent·6 w/ the
Dept. of
ORGANIZATION5 w/ Parent·6 w/ the
Lehman
ORGANIZATION5 w/ Parent·6 w/ the
UBS Fund
ORGANIZATION5 w/ Parent·5 w/ the
the Financial Advisor's
ORGANIZATION5 w/ Parent·5 w/ the
Swiss Federal Banking Commission
ORGANIZATION5 w/ Parent·5 w/ the
United States
LOCATION6 w/ Parent·4 w/ the
Back Taxes Payment
ORGANIZATION5 w/ Parent·5 w/ the
Civil Penalty
ORGANIZATION5 w/ Parent·5 w/ the
General State of NY
ORGANIZATION5 w/ Parent·5 w/ the
Brought
ORGANIZATION5 w/ Parent·5 w/ the