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2 mentions1 same-page
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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
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
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
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
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
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 New Castle County and Cease & Desist
the Securities and Exchange Commission
ORGANIZATION3 w/ New·8 w/ Cease
Department of Justice
ORGANIZATION4 w/ New·7 w/ Cease
UBS Securities LLC
ORGANIZATION3 w/ New·8 w/ Cease
Fannie Mae
ORGANIZATION3 w/ New·7 w/ Cease
Federal Reserve
ORGANIZATION3 w/ New·7 w/ Cease
UBS AG
ORGANIZATION3 w/ New·7 w/ Cease
UBS Fund
ORGANIZATION3 w/ New·7 w/ Cease
New Hampshire
LOCATION3 w/ New·6 w/ Cease
Ghislaine Maxwell
PERSON3 w/ New·6 w/ Cease
Dept. of
ORGANIZATION3 w/ New·6 w/ Cease
New York State
LOCATION3 w/ New·6 w/ Cease
Lehman
ORGANIZATION3 w/ New·6 w/ Cease
Lehman Structured Products
ORGANIZATION3 w/ New·6 w/ Cease
Massachusetts Securities Division
ORGANIZATION3 w/ New·6 w/ Cease
the North American Securities Administrators Association
ORGANIZATION3 w/ New·6 w/ Cease
Internal Revenue Service
ORGANIZATION3 w/ New·6 w/ Cease
United States
LOCATION3 w/ New·6 w/ Cease
Civil Penalty
ORGANIZATION3 w/ New·5 w/ Cease
Parent Company
ORGANIZATION3 w/ New·5 w/ Cease
Wilmington
LOCATION5 w/ New·3 w/ Cease