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om time to time by the Manager. The Fund shall have its registered office in the State of Delaware at 2711 Centerville Road, Suite 400, Wilmington, New Castle County, Delaware 19808, and shall have Corporation Service Company as its registered agent at such registered office for service of process in the State o
.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
om time to time by the Manager. The Fund shall have its registered office in the State of Delaware at 2711 Centerville Road, Suite 400, Wilmington, New Castle County, Delaware 19808, and shall have Corporation Service Company as its registered agent at such registered office for service of process in the State o
.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
om time to time by the Manager. The Fund shall have its registered office in the State of Delaware at 2711 Centerville Road, Suite 400, Wilmington, New Castle County, Delaware 19808, and shall have Corporation Service Company as its registered agent at such registered office for service of process in the State o
.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 New Castle County and Massachusetts Securities Division
Lehman
ORGANIZATION3 w/ New·6 w/ Massachusetts
Lehman Structured Products
ORGANIZATION3 w/ New·6 w/ Massachusetts
the North American Securities Administrators Association
ORGANIZATION3 w/ New·6 w/ Massachusetts
the Securities and Exchange Commission
ORGANIZATION3 w/ New·6 w/ Massachusetts
Cease & Desist
ORGANIZATION3 w/ New·6 w/ Massachusetts
Internal Revenue Service
ORGANIZATION3 w/ New·6 w/ Massachusetts
Dept. of
ORGANIZATION3 w/ New·6 w/ Massachusetts
UBS Securities LLC
ORGANIZATION3 w/ New·6 w/ Massachusetts
New Hampshire
LOCATION3 w/ New·6 w/ Massachusetts
Department of Justice
ORGANIZATION4 w/ New·5 w/ Massachusetts
New York State
LOCATION3 w/ New·6 w/ Massachusetts
the Financial Advisor's
ORGANIZATION3 w/ New·5 w/ Massachusetts
Parent Company
ORGANIZATION3 w/ New·5 w/ Massachusetts
Wilmington
LOCATION5 w/ New·3 w/ Massachusetts
UBS Fund
ORGANIZATION3 w/ New·5 w/ Massachusetts
Civil Penalty
ORGANIZATION3 w/ New·5 w/ Massachusetts
General State of NY
ORGANIZATION3 w/ New·5 w/ Massachusetts
Brought
ORGANIZATION3 w/ New·5 w/ Massachusetts
The Ohio Division of Securities
ORGANIZATION3 w/ New·5 w/ Massachusetts
Back Taxes Payment
ORGANIZATION3 w/ New·5 w/ Massachusetts