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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
terminate cross-border business serving private clients out on non SEC registered entities. Disposition: Disgorgement (5200,000,000 is to the SEC); Back Taxes Payment, Monetary Sanctions: 5380,000,000; 5400,000,000 16. Date of Action: December 2008 Brought By: Swiss Federal Banking Commission Allegations: The
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
terminate cross-border business serving private clients out on non SEC registered entities. Disposition: Disgorgement (5200,000,000 is to the SEC); Back Taxes Payment, Monetary Sanctions: 5380,000,000; 5400,000,000 16. Date of Action: December 2008 Brought By: Swiss Federal Banking Commission Allegations: The
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
terminate cross-border business serving private clients out on non SEC registered entities. Disposition: Disgorgement (5200,000,000 is to the SEC); Back Taxes Payment, Monetary Sanctions: 5380,000,000; 5400,000,000 16. Date of Action: December 2008 Brought By: Swiss Federal Banking Commission Allegations: The
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Mutual Connections (126)
Entities connected to both the Certificate of Formation and Back Taxes Payment
Internal Revenue Service
ORGANIZATION5 w/ the·5 w/ Back
the Delaware Limited Liability Company Act
ORGANIZATION6 w/ the·3 w/ Back
Lehman
ORGANIZATION3 w/ the·5 w/ Back
Samantha Power
PERSON4 w/ the·4 w/ Back
the Financial Advisor's
ORGANIZATION3 w/ the·5 w/ Back
Dept. of
ORGANIZATION3 w/ the·5 w/ Back
Swiss Federal Banking Commission
ORGANIZATION3 w/ the·5 w/ Back
New York State
LOCATION3 w/ the·5 w/ Back
the Securities and Exchange Commission
ORGANIZATION3 w/ the·5 w/ Back
UBS AG
ORGANIZATION3 w/ the·5 w/ Back
Federal Reserve
ORGANIZATION3 w/ the·5 w/ Back
Fannie Mae
ORGANIZATION3 w/ the·5 w/ Back
Parent Company
ORGANIZATION3 w/ the·5 w/ Back
UBS Securities LLC
ORGANIZATION3 w/ the·5 w/ Back
New Hampshire
LOCATION3 w/ the·5 w/ Back
Department of Justice
ORGANIZATION3 w/ the·5 w/ Back
UBS Fund
ORGANIZATION3 w/ the·5 w/ Back
Lehman Structured Products
ORGANIZATION3 w/ the·5 w/ Back
Massachusetts Securities Division
ORGANIZATION3 w/ the·5 w/ Back
the North American Securities Administrators Association
ORGANIZATION3 w/ the·5 w/ Back