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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
AG (Parent Company) 12. Date of Action: May 20, 2015 Brought By: U.S. Department of Justice (D01), the Board of Governors of the Federal Reserve, Connecticut Department of Banking On May 20, 2015, UBS AG entered into settlements with the DO1, the Board of Governors of the Federal Reserve, and the Connecticut Depar
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
AG (Parent Company) 12. Date of Action: May 20, 2015 Brought By: U.S. Department of Justice (D01), the Board of Governors of the Federal Reserve, Connecticut Department of Banking On May 20, 2015, UBS AG entered into settlements with the DO1, the Board of Governors of the Federal Reserve, and the Connecticut Depar
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
AG (Parent Company) 12. Date of Action: May 20, 2015 Brought By: U.S. Department of Justice (D01), the Board of Governors of the Federal Reserve, Connecticut Department of Banking On May 20, 2015, UBS AG entered into settlements with the DO1, the Board of Governors of the Federal Reserve, and the Connecticut Depar
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Entities connected to both the Certificate of Formation and Connecticut Department
the Delaware Limited Liability Company Act
ORGANIZATION6 w/ the·3 w/ Connecticut
Internal Revenue Service
ORGANIZATION5 w/ the·4 w/ Connecticut
Samantha Power
PERSON4 w/ the·4 w/ Connecticut
Swiss Federal Banking Commission
ORGANIZATION3 w/ the·4 w/ Connecticut
Marc Rich
PERSON4 w/ the·3 w/ Connecticut
Wilmington
LOCATION4 w/ the·3 w/ Connecticut
UBS Securities LLC
ORGANIZATION3 w/ the·4 w/ Connecticut
New Hampshire
LOCATION3 w/ the·4 w/ Connecticut
Department of Justice
ORGANIZATION3 w/ the·4 w/ Connecticut
New York State
LOCATION3 w/ the·4 w/ Connecticut
UBS Fund
ORGANIZATION3 w/ the·4 w/ Connecticut
Lehman Structured Products
ORGANIZATION3 w/ the·4 w/ Connecticut
Massachusetts Securities Division
ORGANIZATION3 w/ the·4 w/ Connecticut
the North American Securities Administrators Association
ORGANIZATION3 w/ the·4 w/ Connecticut
Civil Penalty
ORGANIZATION3 w/ the·4 w/ Connecticut
Cease & Desist
ORGANIZATION3 w/ the·4 w/ Connecticut
General State of NY
ORGANIZATION3 w/ the·4 w/ Connecticut
Brought
ORGANIZATION3 w/ the·4 w/ Connecticut
The Ohio Division of Securities
ORGANIZATION3 w/ the·4 w/ Connecticut
Back Taxes Payment
ORGANIZATION3 w/ the·4 w/ Connecticut