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t forth in the Certificate of Formation as filed in the office of the Secretary of State pursuant to the Act, and upon the giving of such notice in the Certificate of Formation, the statutory provisions of Section 18-215 of the Act (and the statutory effect under Section 18-215 of setting forth such notice in the certifica
.8 million plus $20 million credited from the SEC settlement 4. Date of Action: Dec. 22, 2008 &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
2 mentions1 same-page
Page ?Same page
t forth in the Certificate of Formation as filed in the office of the Secretary of State pursuant to the Act, and upon the giving of such notice in the Certificate of Formation, the statutory provisions of Section 18-215 of the Act (and the statutory effect under Section 18-215 of setting forth such notice in the certifica
.8 million plus $20 million credited from the SEC settlement 4. Date of Action: Dec. 22, 2008 &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
2 mentions1 same-page
Page ?Same page
t forth in the Certificate of Formation as filed in the office of the Secretary of State pursuant to the Act, and upon the giving of such notice in the Certificate of Formation, the statutory provisions of Section 18-215 of the Act (and the statutory effect under Section 18-215 of setting forth such notice in the certifica
.8 million plus $20 million credited from the SEC settlement 4. Date of Action: Dec. 22, 2008 &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
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Mutual Connections (126)
Entities connected to both the Certificate of Formation and Massachusetts Securities Division
Internal Revenue Service
ORGANIZATION5 w/ the·6 w/ Massachusetts
the North American Securities Administrators Association
ORGANIZATION3 w/ the·6 w/ Massachusetts
the Securities and Exchange Commission
ORGANIZATION3 w/ the·6 w/ Massachusetts
Cease & Desist
ORGANIZATION3 w/ the·6 w/ Massachusetts
Dept. of
ORGANIZATION3 w/ the·6 w/ Massachusetts
UBS Securities LLC
ORGANIZATION3 w/ the·6 w/ Massachusetts
New Hampshire
LOCATION3 w/ the·6 w/ Massachusetts
the Delaware Limited Liability Company Act
ORGANIZATION6 w/ the·3 w/ Massachusetts
New York State
LOCATION3 w/ the·6 w/ Massachusetts
Lehman Structured Products
ORGANIZATION3 w/ the·6 w/ Massachusetts
Lehman
ORGANIZATION3 w/ the·6 w/ Massachusetts
the Financial Advisor's
ORGANIZATION3 w/ the·5 w/ Massachusetts
Samantha Power
PERSON4 w/ the·4 w/ Massachusetts
Department of Justice
ORGANIZATION3 w/ the·5 w/ Massachusetts
UBS Fund
ORGANIZATION3 w/ the·5 w/ Massachusetts
Civil Penalty
ORGANIZATION3 w/ the·5 w/ Massachusetts
General State of NY
ORGANIZATION3 w/ the·5 w/ Massachusetts
Brought
ORGANIZATION3 w/ the·5 w/ Massachusetts
The Ohio Division of Securities
ORGANIZATION3 w/ the·5 w/ Massachusetts
Back Taxes Payment
ORGANIZATION3 w/ the·5 w/ Massachusetts