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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
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
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
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
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
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 New Castle County and Civil Penalty
Department of Justice
ORGANIZATION4 w/ New·5 w/ Civil
Parent Company
ORGANIZATION3 w/ New·5 w/ Civil
Dept. of
ORGANIZATION3 w/ New·5 w/ Civil
the Financial Advisor's
ORGANIZATION3 w/ New·5 w/ Civil
Swiss Federal Banking Commission
ORGANIZATION3 w/ New·5 w/ Civil
Internal Revenue Service
ORGANIZATION3 w/ New·5 w/ Civil
the Securities and Exchange Commission
ORGANIZATION3 w/ New·5 w/ Civil
UBS AG
ORGANIZATION3 w/ New·5 w/ Civil
Federal Reserve
ORGANIZATION3 w/ New·5 w/ Civil
Fannie Mae
ORGANIZATION3 w/ New·5 w/ Civil
Lehman
ORGANIZATION3 w/ New·5 w/ Civil
Wilmington
LOCATION5 w/ New·3 w/ Civil
UBS Securities LLC
ORGANIZATION3 w/ New·5 w/ Civil
New Hampshire
LOCATION3 w/ New·5 w/ Civil
New York State
LOCATION3 w/ New·5 w/ Civil
UBS Fund
ORGANIZATION3 w/ New·5 w/ Civil
Lehman Structured Products
ORGANIZATION3 w/ New·5 w/ Civil
Massachusetts Securities Division
ORGANIZATION3 w/ New·5 w/ Civil
the North American Securities Administrators Association
ORGANIZATION3 w/ New·5 w/ Civil
Cease & Desist
ORGANIZATION3 w/ New·5 w/ Civil