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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
terminate cross-border business serving private clients out on non SEC registered entities. Disposition: Disgorgement (5200,000,000 is to the SEC); Back Taxes Payment, Monetary Sanctions: 5380,000,000; 5400,000,000 16. Date of Action: December 2008 Brought By: Swiss Federal Banking Commission Allegations: The
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
terminate cross-border business serving private clients out on non SEC registered entities. Disposition: Disgorgement (5200,000,000 is to the SEC); Back Taxes Payment, Monetary Sanctions: 5380,000,000; 5400,000,000 16. Date of Action: December 2008 Brought By: Swiss Federal Banking Commission Allegations: The
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
terminate cross-border business serving private clients out on non SEC registered entities. Disposition: Disgorgement (5200,000,000 is to the SEC); Back Taxes Payment, Monetary Sanctions: 5380,000,000; 5400,000,000 16. Date of Action: December 2008 Brought By: Swiss Federal Banking Commission Allegations: The
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Mutual Connections (126)
Entities connected to both Net Profit and Back Taxes Payment
Wilmington
LOCATION6 w/ Net·3 w/ Back
Dept. of
ORGANIZATION3 w/ Net·5 w/ Back
the Financial Advisor's
ORGANIZATION3 w/ Net·5 w/ Back
UBS AG
ORGANIZATION3 w/ Net·5 w/ Back
Federal Reserve
ORGANIZATION3 w/ Net·5 w/ Back
United States
LOCATION4 w/ Net·4 w/ Back
Lehman
ORGANIZATION3 w/ Net·5 w/ Back
Samantha Power
PERSON4 w/ Net·4 w/ Back
Parent Company
ORGANIZATION3 w/ Net·5 w/ Back
New Hampshire
LOCATION3 w/ Net·5 w/ Back
UBS Securities LLC
ORGANIZATION3 w/ Net·5 w/ Back
Fannie Mae
ORGANIZATION3 w/ Net·5 w/ Back
Department of Justice
ORGANIZATION3 w/ Net·5 w/ Back
UBS Fund
ORGANIZATION3 w/ Net·5 w/ Back
Lehman Structured Products
ORGANIZATION3 w/ Net·5 w/ Back
Massachusetts Securities Division
ORGANIZATION3 w/ Net·5 w/ Back
the North American Securities Administrators Association
ORGANIZATION3 w/ Net·5 w/ Back
Civil Penalty
ORGANIZATION3 w/ Net·5 w/ Back
Cease & Desist
ORGANIZATION3 w/ Net·5 w/ Back
General State of NY
ORGANIZATION3 w/ Net·5 w/ Back