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
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
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
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
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
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
Sponsored
Mutual Connections (126)
Entities connected to both Net Profit and Cease & Desist
the Securities and Exchange Commission
ORGANIZATION3 w/ Net·8 w/ Cease
UBS Securities LLC
ORGANIZATION3 w/ Net·8 w/ Cease
Federal Reserve
ORGANIZATION3 w/ Net·7 w/ Cease
United States
LOCATION4 w/ Net·6 w/ Cease
Department of Justice
ORGANIZATION3 w/ Net·7 w/ Cease
UBS AG
ORGANIZATION3 w/ Net·7 w/ Cease
Fannie Mae
ORGANIZATION3 w/ Net·7 w/ Cease
UBS Fund
ORGANIZATION3 w/ Net·7 w/ Cease
New Hampshire
LOCATION3 w/ Net·6 w/ Cease
Lehman
ORGANIZATION3 w/ Net·6 w/ Cease
Lehman Structured Products
ORGANIZATION3 w/ Net·6 w/ Cease
Massachusetts Securities Division
ORGANIZATION3 w/ Net·6 w/ Cease
the North American Securities Administrators Association
ORGANIZATION3 w/ Net·6 w/ Cease
Dept. of
ORGANIZATION3 w/ Net·6 w/ Cease
Internal Revenue Service
ORGANIZATION3 w/ Net·6 w/ Cease
New York State
LOCATION3 w/ Net·6 w/ Cease
Wilmington
LOCATION6 w/ Net·3 w/ Cease
Parent Company
ORGANIZATION3 w/ Net·5 w/ Cease
Samantha Power
PERSON4 w/ Net·4 w/ Cease
Civil Penalty
ORGANIZATION3 w/ Net·5 w/ Cease