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Document Mentions (6 shared documents)
2 mentions1 same-page
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nvestigation costs of S200,000; Administrative payment of $700,000 3. Date of Action: May 4, 2011 Brought By: SEC, Internal Revenue Service (IRS), Dept. of Justice (DOJ), State Attorney General of 24 States UBS AG and UBS Financial Services Inc reached settlements with the SEC. the IRS, the DOJ and a gr
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
Page ?Same page
Investigation costs of $200,000; Administrative payment of $700,000 2. Date of Action: May 4.2011 Brought By: SEC, Internal Revenue Service (IRS), Dept. of Justice (DOJ), State Attorney General of 24 Stales UBS AG and UBS Financial Services Inc. reached settlements with the SEC, the IRS, the Dal and a g
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. Nlegations: Violations of 3
2 mentions1 same-page
Page ?Same page
nvestigation costs of 5200,000; Administrative payment of 5700,000 3. Date of Action: May 4, 2011 Brought By: SEC, Internal Revenue Service (IRS), Dept. of Justice (D08, State Attorney General of 24 States UBS AG and UBS Financial Services Inc. reached settlements with the SEC, the IRS, the DO1 and a gr
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
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2 mentions1 same-page
Page ?Same page
nvestigation costs of 5200,000; Administrative payment of 5700,000 3. Date of Action: May 4, 2011 Brought By: SEC, Internal Revenue Service (IRS), Dept. of Justice (DOA State Attorney General of 24 States UBS AG and UBS Financial Services Inc. reached settlements with the SEC, the IRS, the DOJ and a gro
&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
2 mentions1 same-page
Page ?Same page
nvestigation costs of 5200,000; Administrative payment of 5700,000 3. Date of Action: May 4, 2011 Brought By: SEC, Internal Revenue Service (IRS), Dept. of Justice (D01), State Attorney General of 24 States UBS AG and UBS Financial Services Inc. reached settlements with the SEC, the IRS, the DOJ and a g
&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
Page ?Same page
nvestigation costs of 5200,000; Administrative payment of 5700,000 3. Date of Action: May 4, 2011 Brought By: SEC, Internal Revenue Service (IRS), Dept. of Justice (D01), State Attorney General of 24 States UBS AG and UBS Financial Services Inc. reached settlements with the SEC, the IRS, the D01 and a g
&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 Dept. of and the North American Securities Administrators Association
United States
LOCATION9 w/ Dept.·4 w/ the
Lehman
ORGANIZATION6 w/ Dept.·6 w/ the
New Hampshire
LOCATION6 w/ Dept.·6 w/ the
UBS Securities LLC
ORGANIZATION6 w/ Dept.·6 w/ the
New York State
LOCATION6 w/ Dept.·6 w/ the
Internal Revenue Service
ORGANIZATION6 w/ Dept.·6 w/ the
the Securities and Exchange Commission
ORGANIZATION6 w/ Dept.·6 w/ the
Lehman Structured Products
ORGANIZATION6 w/ Dept.·6 w/ the
Massachusetts Securities Division
ORGANIZATION6 w/ Dept.·6 w/ the
Cease & Desist
ORGANIZATION6 w/ Dept.·6 w/ the
Federal Reserve
ORGANIZATION7 w/ Dept.·5 w/ the
Fannie Mae
ORGANIZATION6 w/ Dept.·5 w/ the
The Ohio Division of Securities
ORGANIZATION5 w/ Dept.·5 w/ the
Department of Justice
ORGANIZATION5 w/ Dept.·5 w/ the
Parent Company
ORGANIZATION5 w/ Dept.·5 w/ the
Swiss Federal Banking Commission
ORGANIZATION5 w/ Dept.·5 w/ the
General State of NY
ORGANIZATION5 w/ Dept.·5 w/ the
Brought
ORGANIZATION5 w/ Dept.·5 w/ the
Back Taxes Payment
ORGANIZATION5 w/ Dept.·5 w/ the
UBS Fund
ORGANIZATION5 w/ Dept.·5 w/ the