Back to Network
3
Shared Docs
3
Same-Page
3 / 3
Mentions
Document Mentions (3 shared documents)
2 mentions1 same-page
Page ?Same page
et Profit or Net Loss means the amount by which the Net Assets as of the close of business on the last day of a Fiscal Period exceed (in the case of Net Profit) or are less than (in the case of Net Loss) the Net Assets as of the commencement of the same Fiscal Period (or, with respect to the initial Fiscal
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
et Profit or Net Loss means the amount by which the Net Assets as of the close of business on the last day of a Fiscal Period exceed (in the case of Net Profit) or are less than (in the case of Net Loss) the Net Assets as of the commencement of the same Fiscal Period (or, with respect to the initial Fiscal
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
et Profit or Net Loss means the amount by which the Net Assets as of the close of business on the last day of a Fiscal Period exceed (in the case of Net Profit) or are less than (in the case of Net Loss) the Net Assets as of the commencement of the same Fiscal Period (or, with respect to the initial Fiscal
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
Sponsored
Mutual Connections (126)
Entities connected to both Net Profit and Civil Penalty
Wilmington
LOCATION6 w/ Net·3 w/ Civil
Dept. of
ORGANIZATION3 w/ Net·5 w/ Civil
the Financial Advisor's
ORGANIZATION3 w/ Net·5 w/ Civil
UBS AG
ORGANIZATION3 w/ Net·5 w/ Civil
Federal Reserve
ORGANIZATION3 w/ Net·5 w/ Civil
United States
LOCATION4 w/ Net·4 w/ Civil
Lehman
ORGANIZATION3 w/ Net·5 w/ Civil
Samantha Power
PERSON4 w/ Net·4 w/ Civil
Parent Company
ORGANIZATION3 w/ Net·5 w/ Civil
New Hampshire
LOCATION3 w/ Net·5 w/ Civil
UBS Securities LLC
ORGANIZATION3 w/ Net·5 w/ Civil
Fannie Mae
ORGANIZATION3 w/ Net·5 w/ Civil
Department of Justice
ORGANIZATION3 w/ Net·5 w/ Civil
UBS Fund
ORGANIZATION3 w/ Net·5 w/ Civil
Lehman Structured Products
ORGANIZATION3 w/ Net·5 w/ Civil
Massachusetts Securities Division
ORGANIZATION3 w/ Net·5 w/ Civil
the North American Securities Administrators Association
ORGANIZATION3 w/ Net·5 w/ Civil
Cease & Desist
ORGANIZATION3 w/ Net·5 w/ Civil
General State of NY
ORGANIZATION3 w/ Net·5 w/ Civil
Brought
ORGANIZATION3 w/ Net·5 w/ Civil