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n's capacity as a member of the Fund. Millennium Fund means Millennium USA LP, a Delaware limited partnership. Millennium Investment Manager means Millennium Management LLC, a Delaware limited liability company. Negative Basis means, with respect to any Member and as of any time of calculation, the amount by which the
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
n's capacity as a member of the Fund. Millennium Fund means Millennium USA LP, a Delaware limited partnership. Millennium Investment Manager means Millennium Management LLC, a Delaware limited liability company. Negative Basis means, with respect to any Member and as of any time of calculation, the amount by which the
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
n's capacity as a member of the Fund. Millennium Fund means Millennium USA LP, a Delaware limited partnership. Millennium Investment Manager means Millennium Management LLC, a Delaware limited liability company. Negative Basis means, with respect to any Member and as of any time of calculation, the amount by which the
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 Millennium Management LLC and Civil Penalty
Millennium USA LP
ORGANIZATION8 w/ Millennium·3 w/ Civil
United States
LOCATION6 w/ Millennium·4 w/ Civil
Millennium
ORGANIZATION7 w/ Millennium·3 w/ Civil
New York State
LOCATION4 w/ Millennium·5 w/ Civil
Back Taxes Payment
ORGANIZATION3 w/ Millennium·5 w/ Civil
Swiss Federal Banking Commission
ORGANIZATION3 w/ Millennium·5 w/ Civil
Cease & Desist
ORGANIZATION3 w/ Millennium·5 w/ Civil
UBS Securities LLC
ORGANIZATION3 w/ Millennium·5 w/ Civil
General State of NY
ORGANIZATION3 w/ Millennium·5 w/ Civil
Brought
ORGANIZATION3 w/ Millennium·5 w/ Civil
The Ohio Division of Securities
ORGANIZATION3 w/ Millennium·5 w/ Civil
Department of Justice
ORGANIZATION3 w/ Millennium·5 w/ Civil
Ghislaine Maxwell
PERSON4 w/ Millennium·4 w/ Civil
Internal Revenue Service
ORGANIZATION3 w/ Millennium·5 w/ Civil
New Hampshire
LOCATION3 w/ Millennium·5 w/ Civil
Fannie Mae
ORGANIZATION3 w/ Millennium·5 w/ Civil
the Securities and Exchange Commission
ORGANIZATION3 w/ Millennium·5 w/ Civil
the Financial Advisor's
ORGANIZATION3 w/ Millennium·5 w/ Civil
Parent Company
ORGANIZATION3 w/ Millennium·5 w/ Civil
Dept. of
ORGANIZATION3 w/ Millennium·5 w/ Civil