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Document Mentions (3 shared documents)
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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
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
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
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
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
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 Millennium Management LLC and Cease & Desist
United States
LOCATION6 w/ Millennium·6 w/ Cease
Millennium USA LP
ORGANIZATION8 w/ Millennium·3 w/ Cease
the Securities and Exchange Commission
ORGANIZATION3 w/ Millennium·8 w/ Cease
UBS Securities LLC
ORGANIZATION3 w/ Millennium·8 w/ Cease
UBS AG
ORGANIZATION3 w/ Millennium·7 w/ Cease
Fannie Mae
ORGANIZATION3 w/ Millennium·7 w/ Cease
UBS Fund
ORGANIZATION3 w/ Millennium·7 w/ Cease
Department of Justice
ORGANIZATION3 w/ Millennium·7 w/ Cease
New York State
LOCATION4 w/ Millennium·6 w/ Cease
Ghislaine Maxwell
PERSON4 w/ Millennium·6 w/ Cease
Millennium
ORGANIZATION7 w/ Millennium·3 w/ Cease
Federal Reserve
ORGANIZATION3 w/ Millennium·7 w/ Cease
Lehman
ORGANIZATION3 w/ Millennium·6 w/ Cease
the North American Securities Administrators Association
ORGANIZATION3 w/ Millennium·6 w/ Cease
New Hampshire
LOCATION3 w/ Millennium·6 w/ Cease
Massachusetts Securities Division
ORGANIZATION3 w/ Millennium·6 w/ Cease
Lehman Structured Products
ORGANIZATION3 w/ Millennium·6 w/ Cease
Dept. of
ORGANIZATION3 w/ Millennium·6 w/ Cease
Internal Revenue Service
ORGANIZATION3 w/ Millennium·6 w/ Cease
Swiss Federal Banking Commission
ORGANIZATION3 w/ Millennium·5 w/ Cease