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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
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 UBS Securities LLC) agreed to pay a
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
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 UBS Securities LLC) agreed to pay a
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
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 UBS Securities LLC) agreed to pay a
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Mutual Connections (126)
Entities connected to both the Certificate of Formation and Cease & Desist
UBS Securities LLC
ORGANIZATION3 w/ the·8 w/ Cease
the Securities and Exchange Commission
ORGANIZATION3 w/ the·8 w/ Cease
Internal Revenue Service
ORGANIZATION5 w/ the·6 w/ Cease
Fannie Mae
ORGANIZATION3 w/ the·7 w/ Cease
UBS Fund
ORGANIZATION3 w/ the·7 w/ Cease
Department of Justice
ORGANIZATION3 w/ the·7 w/ Cease
UBS AG
ORGANIZATION3 w/ the·7 w/ Cease
Federal Reserve
ORGANIZATION3 w/ the·7 w/ Cease
Lehman
ORGANIZATION3 w/ the·6 w/ Cease
the Delaware Limited Liability Company Act
ORGANIZATION6 w/ the·3 w/ Cease
Dept. of
ORGANIZATION3 w/ the·6 w/ Cease
New York State
LOCATION3 w/ the·6 w/ Cease
United States
LOCATION3 w/ the·6 w/ Cease
New Hampshire
LOCATION3 w/ the·6 w/ Cease
Lehman Structured Products
ORGANIZATION3 w/ the·6 w/ Cease
Massachusetts Securities Division
ORGANIZATION3 w/ the·6 w/ Cease
the North American Securities Administrators Association
ORGANIZATION3 w/ the·6 w/ Cease
Ghislaine Maxwell
PERSON3 w/ the·6 w/ Cease
the Financial Advisor's
ORGANIZATION3 w/ the·5 w/ Cease
Samantha Power
PERSON4 w/ the·4 w/ Cease