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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
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
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
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
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
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
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Mutual Connections (126)
Entities connected to both the Certificate of Formation and Civil Penalty
Internal Revenue Service
ORGANIZATION5 w/ the·5 w/ Civil
the Delaware Limited Liability Company Act
ORGANIZATION6 w/ the·3 w/ Civil
Lehman
ORGANIZATION3 w/ the·5 w/ Civil
Samantha Power
PERSON4 w/ the·4 w/ Civil
the Financial Advisor's
ORGANIZATION3 w/ the·5 w/ Civil
Dept. of
ORGANIZATION3 w/ the·5 w/ Civil
Swiss Federal Banking Commission
ORGANIZATION3 w/ the·5 w/ Civil
New York State
LOCATION3 w/ the·5 w/ Civil
the Securities and Exchange Commission
ORGANIZATION3 w/ the·5 w/ Civil
UBS AG
ORGANIZATION3 w/ the·5 w/ Civil
Federal Reserve
ORGANIZATION3 w/ the·5 w/ Civil
Fannie Mae
ORGANIZATION3 w/ the·5 w/ Civil
Parent Company
ORGANIZATION3 w/ the·5 w/ Civil
UBS Securities LLC
ORGANIZATION3 w/ the·5 w/ Civil
New Hampshire
LOCATION3 w/ the·5 w/ Civil
Department of Justice
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